Registered Investment Advisor

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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.
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References in periodicals archive ?
WPCG assists MAI by identifying and integrating like-minded registered investment advisers who are seeking access to expanded business capabilities, strategic growth and customised transition solutions.
Mercer Advisors is the parent company of Mercer Global Advisors, one of the largest independent Registered Investment Advisers and financial planning firms in the US.
At the same time, the number of registered investment advisers is on the rise.
Under the SEC's rule, registered investment advisers may charge clients performance fees if the client's net worth or assets under management by the adviser meet certain dollar thresholds.
The number of registered investment advisers has increased so dramatically since 2004, the SEC said it is overwhelmed, understaffed and out of resources to keep up with exams to monitor their activities.
The Securities Industry Association reported a 20% increase in the number of Series 66 Registered Investment Advisers in 2004.
Source: Letter from the SEC's Office of Compliance Inspections and Examinations to registered investment advisers, 2000.
Wealth Partners Capital Group (WPCG) is a financial services holding company, which has partnered with EP Wealth Advisors to identify and integrate like-minded registered investment advisers who are seeking access to expanded business capabilities, strategic growth and customised transition solutions.
Aberdeen Asset Management Inc is a registered investment adviser. In the US, Aberdeen Standard Investments is the marketing name for the following affiliated, registered investment advisers: Aberdeen Standard Investments ETFs Advisors LLC, Aberdeen Asset Management Inc, Aberdeen Asset Managers Ltd, Aberdeen Standard Investments Australia Ltd, Aberdeen Standard Investments (Asia) Ltd, Aberdeen Asset Capital Management LLC, Standard Life Investments (Corporate Funds) Ltd and Standard Life Investments (USA) Ltd.
She noted that firms and individuals offering advisory account services must be registered as Registered Investment Advisers.

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