Registered investment adviser

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Registered investment adviser

SEC-registered individual or firm that substantiates completion of education and work experience in the field, and pays an annual membership fee.

Registered Investment Advisor

A person or business regulated by the SEC that provides investing advice or counsel to an investor. All investment advisers managing over $25 million must register with the SEC; the actions of all registered investment advisers are governed by the Investment Advisors Act of 1940. Importantly, it is a criminal offense for investment advisers to provide false or misleading information, and to buy or sell his/her own securities to or from a client. Registration helps the SEC enforce these provisions.

registered investment adviser

A professional investment adviser who is registered with the SEC as part of the Investment Advisers Act of 1940. Registered investment advisors are required to register annually with the SEC and to disclose any conflicts of interest they have concerning transactions executed for their clients.

Registered investment adviser (RIA).

Investment advisory firms that register with the Securities and Exchange Commission (SEC) and agree to be regulated by SEC rules are known as registered investment advisers.

Only a small percentage of all investment firms, and an even smaller number of individuals, register, though being registered is often interpreted as a sign that the adviser meets a higher standard.

References in periodicals archive ?
It has become increasingly common for RIAs to receive awards, designations or rankings by third-party publications.
Consider a regulatory agency that is not required to conduct an RIA for a proposed major rule.
Hypothesis 1: Following accession to an RIA, new members, on average, observe an increase in inward FDI.
To get us to switch, the broker-dealer would have to offer extremely valuable resources--performance reporting, marketing, referral assistance, and RIA platform assistance--that would replicate what we've built internally, but come at a lower cost to our firm," says Taylor.
Under the affinity agreement, TEI members are eligible for new and renewal purchase discounts on all tax information products and services marketed under the RIA branded lines (RIA and Warren, Gorham & Lamont), as well as Carswell's CD-ROM, Web-based, and print products and the MicroMash on-line CPE courses.
The fee charged by an RIA is transparent; charging flat fees for a menu of services based on assets under management is a reasonable way of serving a client's interests.
North American robotics companies also saw big gains in orders from companies beyond the continent in 2004, says RIA.
RIA Connect's user-friendly Web site provides users with access to a 15,000 item competitive cross-reference, spec sheets, autocad drawings, on-line inventory and samples shipped overnight at no charge.
UK-based Rich Internet Application tools provider Ariaware has announced the availability of its open-sourced Ariaware RIA Platform (ARP), version 2.
8, 2001 RIA Weekly Alert, Page 126: "This caused RIA to ask IRS whether such an excess distribution could be rolled over to an IRA.
Among other mission activity, RIA produces gun mounts for the M109 howitzer.