investment adviser

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Related to Investment Advisers: Investment Adviser Representative

Investment adviser

A person or an organization that makes the day-to-day decisions regarding a portfolio's investments. Also called a portfolio manager.

Investment Adviser

A person or business that provides investing advice or counsel to an investor in exchange for a fee. Investment advisers may interact directly with a client (e.g. by managing assets), or may provide passive, general advice on which securities or industries are bullish or bearish. Investment advisers managing more than a certain amount of money must register with the SEC; the actions of all investment advisers are governed by the Investment Advisers Act of 1940. Importantly, it is a criminal offense for investment advisers to provide false or misleading information, and to sell or buy their own securities to or from a client.

investment adviser

A person who offers professional investment advice. Investment advisers are required to register with the SEC.
References in periodicals archive ?
Because the issues related to the investment adviser regulation are quite complex, they are not fully addressed here.
The Investment Adviser Act of 1940 is the primary federal legislative authority governing SEC-registered investment advisers.
In lieu of commissions, an unbiased investment adviser who charges a flat fee can redirect revenue sharing to the plan trust through an open architecture platform.
Travelers SelectOne(SM) for Investment Advisers and Funds includes an option to select products such as Investment Advisers Professional Liability, Mutual Fund Liability, Employment Practices Liability, and Fiduciary Liability.
Have the investment adviser review the rules for the client's company stock options.
The system, which is called the Investment Adviser Registration Depository (IARD), will permit investment advisers to satisfy filing obligations under state and Federal laws by making a single electronic filing.
Tull will be responsible for helping investment advisers and investment companies with designing and reviewing their compliance programs.
As in the late-trading scandal, some investment advisers have permitted market-timing practices that violate the terms of a prospectus in exchange for the investor's depositing substantial assets with the fund or an affiliated firm.
Persons excluded from the definition of investment adviser.
It recommended that investment advisers and investment companies consider requiring their access persons to report their trades in all ETF shares, even for ETFs that are not organized as UITs.
Investment advisers registered with the SEC must comply with detailed regulations both in screening solicitors and managing their communications with prospective clients.
Investment advisers contend that bailout payments are distinguishable from the payments in Welch because the taxpayer in Welch "made a capital outlay to acquire goodwill for a new business" (emphasis added); see also Dunn & McCarthy, Inc.

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