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.
References in periodicals archive ?
Through its three partner firms, EP Wealth Advisors, MAI Capital Management and Forbes Family Trust, WPCG is focussed on identifying and integrating like-minded registered investment advisors who are seeking access to expanded business capabilities, strategic growth and customised transition solutions.
Financial Advisor's RIA Ranking is an annual survey that ranks registered investment advisors (RIAs) based on percentage growth in assets from the previous calendar year.
Loehning joined Thornburg in March from Putnam Investments where he worked with registered investment advisors as a senior regional investment consultant.
Trust Network is available to Pershing's introducing broker-dealer clients through Pershing Llc and registered investment advisors through Pershing Advisor Solutions Llc.
Lisanti, founded by Mary Lisanti, is a certified woman-owned and managed SEC registered investment advisor specializing in US small- and small/mid-cap (SMID) equity growth investing.
Target: Third party registered investment advisor business
Based in Torrance, California, EP Wealth Advisors Llc is a fee-only registered investment advisor and financial planning firm with additional offices in the San Francisco Bay area, West Los Angeles and Irvine, California, Seattle and Denver.
Securities and Retirement Plan Consulting Program advisory services offered through LPL Financial, a Registered Investment Advisor, member FINRA/SIPC.
Cambridge is certified in the role of registered investment advisor in supporting and overseeing the investment advisory activities of independent investment advisor representatives.
FSC Securities Corporation (FSC), an independent broker-dealer and registered investment advisor, has said that it has appointed Derek Burke as president and CEO.
Global Banking News-July 17, 2017--SEC approves CreditEase Wealth Management as registered investment advisor

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