Registered investment adviser

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Registered investment adviser

SEC-registered individual or firm that substantiates completion of education and work experience in the field, and pays an annual membership fee.
Copyright © 2012, Campbell R. Harvey. All Rights Reserved.

Registered Investment Advisor

A person or business regulated by the SEC that provides investing advice or counsel to an investor. All investment advisers managing over $25 million must register with the SEC; the actions of all registered investment advisers are governed by the Investment Advisors Act of 1940. Importantly, it is a criminal offense for investment advisers to provide false or misleading information, and to buy or sell his/her own securities to or from a client. Registration helps the SEC enforce these provisions.
Farlex Financial Dictionary. © 2012 Farlex, Inc. All Rights Reserved

registered investment adviser

A professional investment adviser who is registered with the SEC as part of the Investment Advisers Act of 1940. Registered investment advisors are required to register annually with the SEC and to disclose any conflicts of interest they have concerning transactions executed for their clients.
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.

Registered investment adviser (RIA).

Investment advisory firms that register with the Securities and Exchange Commission (SEC) and agree to be regulated by SEC rules are known as registered investment advisers.

Only a small percentage of all investment firms, and an even smaller number of individuals, register, though being registered is often interpreted as a sign that the adviser meets a higher standard.

Dictionary of Financial Terms. Copyright © 2008 Lightbulb Press, Inc. All Rights Reserved.
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