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.
Copyright © 2012, Campbell R. Harvey. All Rights Reserved.

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.
Farlex Financial Dictionary. © 2012 Farlex, Inc. All Rights Reserved

investment adviser

A person who offers professional investment advice. Investment advisers are required to register with the SEC.
Wall Street Words: An A to Z Guide to Investment Terms for Today's Investor by David L. Scott. Copyright © 2003 by Houghton Mifflin Company. Published by Houghton Mifflin Company. All rights reserved. All rights reserved.
References in periodicals archive ?
Spectrum Investment Advisors was incorporated in 1995.
The cover story in the February 2017 issue of Investment Advisor primarily focuses on pure business-to-consumer robo-advisors, but how should the other robos be regulated -- the ones that combine technology with human advice, and those that sell their technology to advisors for use in their practices?
federal appeals court Friday broadly defined the term "for compensation" for purposes of determining whether a defendant who defrauded clients should be judged an investment advisor under the Investment Advisers Act of 1940.
The study also shows that more than two-thirds (69%) of Canadian investors have used the services of a financial or investment advisor within the past 12 months.
The managers of the Fund are Scott Schermerhorn, a 25-year investment industry veteran and chief investment officer of Granite Investment Advisors, and Tim Lesko, a principal of the firm and senior member of the investment team.
ERISA fiduciaries retain the fiduciary duty to prudently select and monitor available fund options unless they retain a registered investment advisor. Investment advisors are cofiduciaries under ERISA to the extent they have discretionary authority or control in connection with the management or disposition of plan assets, or if they provide advice for a fee [ERISA sections 3(21)(A)(i), 3(38), and 405(d)].
One, which they presented to Congress, was that some type of education and experience should be required to be an investment advisor (or newsletter editor).
Atlanta Life President and CEO Charles Cornelius says that the company will hire professional investment advisors, as well as explore relationships with asset management firms, to get ALIC Investment Advisors operational by the end of the year.
The ACCJ said this effectively excludes investment advisers from providing business to this market segment, even though one of the primary goals of financial deregulation in Japan has been to provide institutional investors with the means to realize increased investment performance by using licensed professional investment advisors.
The BKD Investment Advisors merger will be that firm's first branch in the state.
A "new paradigm," or a new way of approaching fundamental issues is needed by institutional real estate investors, according to the Annual Property Report released by The Yarmouth Group, the New York-based international real estate investment advisor.
Investment advisors, family offices, and bank trust departments charge an annual percentage of the assets they manage and therefore profit from the growth of the portfolio assets.

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