She noted that firms and individuals offering advisory account services must be registered as
Registered Investment Advisers.
Source: Letter from the SEC's Office of Compliance Inspections and Examinations to
registered investment advisers, 2000.
Registered investment advisers: A
registered investment adviser, like brokers and money managers, must register with the Securities and Exchange Commission.
Many banks,
registered investment advisers, and independent broker dealers are seeking open architecture capabilities for their trust clients.
The deal is part of an ongoing AICPA effort to assist members who want to establish or expand financial planning practices and become
registered investment advisers.
The company markets its products in 49 states and the District of Columbia, through independent and regional broker-dealers, financial institutions, independent insurance agents, and
registered investment advisers.
The company works only with
registered investment advisers.
ATLANTA & DALLAS -- Homrich & Berg, one of the largest independent
registered investment advisers in the US, and Placemark Investments, the investment industry's leading overlay manager, are pleased to announce the launch of a multi-manager separate account strategy created to serve the needs of Homrich & Berg's high-net-worth clients, which have approximately $1.
Registered investment advisers are subject to periodic on-site audits.
Specifically, Vanguard will stop providing custody services to
registered investment advisers later this year.
LJH has advised numerous private investors, financial institutions, and
registered investment advisers on the development of fund of hedge funds strategies.
It would exempt other advisers from SEC registration if the SEC determined that registration would be unfair or a burden, and it would exempt investment advisers registered with the SEC from state investment adviser regulation; however, states may require
registered investment advisers to file notices with the state and pay appropriate fees.
