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.
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For more information about Curian's SMA platform, tax harvesting capabilities and Peak Performance seminar program, registered investment advisors, broker-dealers and financial institutions can visit www.
The amendment raises the threshold for registered investment advisors from less than 17.
Global's sales team focused on growing the company's base of assets from registered investment advisors, foundations, endowments and other institutions.
This new unit was established to meet the needs of registered investment advisors across the nation.
Wealth Architect is used by banks, broker-dealers, and Registered Investment Advisors to provide comprehensive fee-based open architecture investment services.
DENVER -- Trust Company of America, provider of custody services to fee-based registered investment advisors, today unveiled TCRepresentative, a comprehensive set of tools designed to help advisors effectively manage and service their network of representatives while structuring the relationship to best fit each firm's unique business needs.
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.
With overall consumer interest in socially responsible investing (SRI) on the rise, the survey found that registered investment advisors (RIA's) still show a bias when it comes to recommending SRI to their clients.
The conference provides financial planners, registered investment advisors (RIAs), broker-dealers, and investment executives with opportunities to network with colleagues, build relationships with resource providers, and expand their knowledge of best practices.
Bonfanti provides floor brokerage and trading services from the floor of the NYSE to Broker-Dealers, Registered Investment Advisors, Hedge Funds, Pension Plan Managers and various other financial institutions.
Registered Representatives of NPA can now offer these alternative investment products to other broker/dealers, registered investment advisors, family offices, institutions, as well as its high net worth clientele.

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