Investment advisory service

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Investment advisory service

A business that specializes in providing investment advice for a fee. All advisers of an advisory service must be registered with the Securities and Exchange Commission.
Copyright © 2012, Campbell R. Harvey. All Rights Reserved.

Investment Advisory Service

A business that provides investing advice or counsel to an investor in exchange for a fee. Investment advisory services 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 advisory services managing a certain amount of money must register with the SEC; the actions of all investment advisory services are governed by the Investment Advisors Act of 1940. Importantly, it is a criminal offense for investment advisory services to provide false or misleading information, and to sell or buy their own securities to or from a client. See also: Investment adviser.
Farlex Financial Dictionary. © 2012 Farlex, Inc. All Rights Reserved
References in periodicals archive ?
National investment advisory firm USA Financial has announced that Mark Mersman, the company's Chief Marketing Officer, has been named as one of three finalists for the 2019 Broker-Dealers Chief Marketing Officer of the Year award, the company said.
ADVISER QUESTION: We are an RIA [registered investment adviser] firm that provides investment advisory services to ERISA [Employee Retirement Income Security Act] clients.
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NAFA is a Non-Banking Finance Company with a license to perform Asset Management and Investment Advisory Services as per the NBFC Rules, 2003 and Pension Fund Management as per Voluntary Pension System Rules, 2005.
In this position, Zeiger will define and manage the investment advisory strategy of NBAD's Private Bank (Suisse) SA and lead the investment team which provides strategic and tactical asset allocation advice to NBAD's Private Banking clients.
The investment advisory firm signed a 15-year lease for 53,398 s/f at the Class A, 659,724 s/f commercial office building.

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