investment adviser


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Related to investment adviser: Registered Investment Advisors

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 ?
Generally, CPAs must register with the SEC as an investment adviser if they fail a two-part test by answering "yes" to the following questions:
Although the Supreme Court's "conflict-disclosure" approach creates some ambiguity, it also clarifies the importance of a keystone concept of good investment adviser management: disclosure.
Be careful not to confuse an investment adviser with a broker representing a bundled, prepackaged investment platform.
Conducted by AMA Investment Advisers professionals, the seminars will feature a guest presenter from Price Waterhouse's Personal Financial Services Group.
By leveraging its global 'community of boutiques' structure and the strength of Morgan Stanley, the Investment Adviser strives to provide outstanding long-term investment performance, service and a comprehensive suite of investment management solutions to a diverse client base, which includes governments, institutions, corporations and individuals worldwide.
Reevaluate investment advisers with respect to the goals.
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.
investment advisers are either severely limited or totally barred from financial markets in countries like Japan, Korea and Taiwan -- countries that enjoy unrestricted access to the U.
Since Canary, major investment adviser firms under contract to mutual funds have been charged with a variety of schemes, including some involving portfolio managers and founders of investment advisory firms.
The conference will bring together investment advisers, legal counsel to advisers, investor advocates, representatives from state regulatory bodies, representatives from the National Association of Securities Dealers and others to discuss these issues and offer their views.
Some states require you to register your solicitors as investment adviser representatives, although the SEC doesn't," he says.
In the FSA, the taxpayer was a large commercial bank that served as the investment adviser for a family of proprietary mutual funds, including two money market funds that the taxpayer had acquired in a merger with another bank.