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Investment Adviser

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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 who offers professional investment advice. Investment advisers are required to register with the SEC.
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.


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When the Court granted certiorari to hear the case, the question presented was whether an investment adviser charged an impermissibly excessive fee to mutual fund shareholders when the fee was more than twice the amount charged to institutional investors.
A Compilation Of Enforcement And Non-Enforcement Actions - November ... by Fetzer, Peter / Mondaq Business Briefing
Investment Adviser is a professional firm or an individual that advises clients on investment matters.
Investment Advice ? Learn How to Hire A Dependable Advisor to Secure ... by Daljeet Sidhu / Finance and Investment community
from paying a third party, such as a solicitor or placement agent, to solicit a government client on behalf of the investment adviser.
SEC to crack down on 'pay to play' practices by Credit Union Times
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