Investment advisory service

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.

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.
References in periodicals archive ?
In our marketplace, investment advisory service is a requirement for being in the business," notes Ken Robertson, executive vice president of The 401(k) Company, an Austin, Texas-based plan provider with a national client base of middle-market plan sponsors.
Eligibility hinges on whether the CPA's investment advisory service is "solely incidental" to the practice of accounting.
NEW YORK -- Quadriga Research has named Valentine Wealth Management the number one investment advisory service in the nation.
Request for Proposals: Investment advisory services
Professional Investment Advisory Services Pte Ltd wins Best Financial Advisory Brand and Professional Investment Advisory Services CEO - Christopher Teo wins Best Financial Advisory Brand - CEO, Singapore by Global Brands Magazine this year.
For many, the business model often evolves from ancillary--providing limited advice--to a more dedicated standalone model and eventually to include investment advisory services.
The Securities and Exchange Commission (SEC) published for comment two rules, one of which would grant thrift institutions a limited exception from Investment Advisers Act requirements governing the manner and extent to which such entities may hold themselves out to the public as providers of investment advisory services (www.
Center for Investment Advisory Services Continues to Grow
Based in Los Angeles, CA, Bristlecone Value Partners, LLC is an independent, employee-owned asset management firm offering investment advisory services to high net worth individuals and institutions.
9, 2011 /PRNewswire/ -- Harris myCFO Investment Advisory Services, LLC has been ranked seventh in Forbes' ranking of registered investment advisors (RIA).
All through the '90s and into the new millennium, California CPAs have been riding the wave of financial gain as they transition away from traditional tax and audit services and into the world of personal financial planning and investment advisory services.
Personal financial planning (PFP) is a practice area of constant change and growth; this column provides information about change and growth in the areas of investment advisory services, retirement and insurance planning and accreditation.

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