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 ?
In addition to its 3,100 Registered Investment Advisor clients, Fidelity has been providing clearing, custody and brokerage services to bank trust departments and third-party administrators (TPAs) for nearly 15 years.
MCM was formed in 1981 and became a Registered Investment Advisor in 1983.
The rule allows stockbrokers to offer services similar to a Registered Investment Advisor without being held to the fiduciary standard of care and conflict of interest disclosure required of RIAs.
Advanced Investment Partners, LLC (AIP), a registered investment advisor and leader in developing innovative quantitative investment strategies.
Independent Registered Investment Advisors (RIAs) often compete with brokerage firms that use large budgets and ad campaigns to sell brokerage services, including investment advice, for a fee.
DENVER -- Trust Company of America, provider of custody services to fee-only registered investment advisors, today announced their newest client, Great American Advisors.

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