Registered Investment Advisor

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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.
References in periodicals archive ?
She noted that firms and individuals offering advisory account services must be registered as Registered Investment Advisers.
Source: Letter from the SEC's Office of Compliance Inspections and Examinations to registered investment advisers, 2000.
Registered investment advisers: A registered investment adviser, like brokers and money managers, must register with the Securities and Exchange Commission.
Many banks, registered investment advisers, and independent broker dealers are seeking open architecture capabilities for their trust clients.
The deal is part of an ongoing AICPA effort to assist members who want to establish or expand financial planning practices and become registered investment advisers.
The company markets its products in 49 states and the District of Columbia, through independent and regional broker-dealers, financial institutions, independent insurance agents, and registered investment advisers.
The company works only with registered investment advisers.
ATLANTA & DALLAS -- Homrich & Berg, one of the largest independent registered investment advisers in the US, and Placemark Investments, the investment industry's leading overlay manager, are pleased to announce the launch of a multi-manager separate account strategy created to serve the needs of Homrich & Berg's high-net-worth clients, which have approximately $1.
Specifically, Vanguard will stop providing custody services to registered investment advisers later this year.
It would exempt other advisers from SEC registration if the SEC determined that registration would be unfair or a burden, and it would exempt investment advisers registered with the SEC from state investment adviser regulation; however, states may require registered investment advisers to file notices with the state and pay appropriate fees.
LJH has advised numerous private investors, financial institutions, and registered investment advisers on the development of fund of hedge funds strategies.
Because the interpretations expanded the definition of those who must register as investment advisers, the number of registered investment advisers grew from 4,580 in 1980 to about 15,000 in 1989.

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