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 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 ?
Therefore, investment advisors with a December fiscal year end are required to file their annual amendments by March 31
Giachetti is chairman of the Securities Practice Group of Stark & Stark, a law firm with offices in Princeton, New York, and Philadelphia that represents investment advisors, financial planners, BDs, CPA firms, registered reps, and investment companies, and a regular contributor to Investment Advisor.
Davidson Investment Advisors has successfully managed portfolios for individuals, corporations, employee benefit plans, foundations and trusts for more than 30 years, and operates from offices in Great Falls, Seattle and San Francisco.
Crotty joins Davidson Investment Advisors with a strong background, serving most recently as a managing director for Spectrum Advisory Services Inc.
Quantitative Investment Advisors, which began managing mutual funds in 1985, manages approximately $1.
Our TCRepresentative program is a must-have for any investment advisor who sells through some type of representative, such as registered reps, wholesalers, solicitors, other advisors, or even banks," said Terry Reitan, Trust Company of America's President and CEO.
The Company's full spectrum of services include a leading active trader program and long-term investor solutions, including a national branch system, as well as relationships with one of the largest networks of independent Registered Investment Advisors.
The wealthy are prudent investors," said Shawn Ecklund, managing director of Glencrest Investment Advisors.
According to Investment Advisor Magazine, May 2006 issue, "Another way to rank the importance of fee-based services to a firm is to consider the growth in the number of fee-based advisors that have partnered with a firm over time .
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.
It will be accessible primarily through investment advisors and has a $50,000 investment minimum.
Initially the Bank will dedicate a team of approximately 20 investment advisors and associates to meeting the needs of high-net-worth clients with investable assets of at least $1 million.

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