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 ?
DENVER -- Trust Company of America, provider of custody services to fee-based registered investment advisors, today unveiled TCRepresentative, a comprehensive set of tools designed to help advisors effectively manage and service their network of representatives while structuring the relationship to best fit each firm's unique business needs.
Symmetry Partners, LLC is a registered investment advisor with the SEC.
com) is a registered investment advisor providing innovative fee-based managed accounts and investment products to financial professionals through a state-of-the-art technology platform.
Hartwell was most recently with Fidelity Investments where he was responsible for sales and relationship management in the registered investment advisor group.
DENVER -- Trust Company of America, provider of custodial services and technology, today announced that it will provide custody services for BTS Asset Management, a registered investment advisor firm specializing in quantitative, market-risk management for mutual fund and variable annuity holders.
0 billion in assets, today announced that it has signed a definitive agreement to acquire the assets of Morton Capital Management (MCM), a Calabasas, California-based registered investment advisor.

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