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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For more information about Curian's SMA platform, tax harvesting capabilities and Peak Performance seminar program, registered investment advisors, broker-dealers and financial institutions can visit www.
Clients Utilizing Curian's Tax Harvesting Program Generated More Than $1.5 Million in Potential Savings During 2006
The amendment raises the threshold for registered investment advisors from less than 17.
MGIC Investment Announces Rights Plan Amendment
Global's sales team focused on growing the company's base of assets from registered investment advisors, foundations, endowments and other institutions.
Veteran Sales Executive Joins U.S. Global Investors
This new unit was established to meet the needs of registered investment advisors across the nation.
FIDELITY LAUNCHES MAJOR INITIATIVE TO SERVE INVESTMENT ADVISORS; ADVISOR RESOURCE GROUP DRIVES FOR BIGGER SHARE OF INSTITUTIONAL TRADES
Wealth Architect is used by banks, broker-dealers, and Registered Investment Advisors to provide comprehensive fee-based open architecture investment services.
Premier Unified Managed Account Launched for Sixteen FundQuest Wealth Architect Clients
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.
Trust Company of America Unveils TCRepresentative
Independent Registered Investment Advisors (RIAs) often compete with brokerage firms that use large budgets and ad campaigns to sell brokerage services, including investment advice, for a fee.
TD AMERITRADE Institutional Helps Advisors Educate Investors; Advisor Education Kit Explains Different Types of Advice
DENVER -- Trust Company of America, provider of custody services to fee-only registered investment advisors, today announced their newest client, Great American Advisors.
Trust Company of America Named Custodian for Great American Advisors; Trust Company of America's Advanced Technology and Model Portfolio Trading Platform Will Facilitate Transition to Fee-Based Institutional Money Management
With overall consumer interest in socially responsible investing (SRI) on the rise, the survey found that registered investment advisors (RIA's) still show a bias when it comes to recommending SRI to their clients.
Despite Growing Interest in Socially Responsible Mutual Funds, New Citizens Advisers Survey Shows Registered Investment Advisors Lag behind Times
The conference provides financial planners, registered investment advisors (RIAs), broker-dealers, and investment executives with opportunities to network with colleagues, build relationships with resource providers, and expand their knowledge of best practices.
The Bank of New York Company, Inc.'s Pershing Advisor Solutions Unit and the Financial Planning Association Announce Sponsorship of FPA San Diego 2005
Bonfanti provides floor brokerage and trading services from the floor of the NYSE to Broker-Dealers, Registered Investment Advisors, Hedge Funds, Pension Plan Managers and various other financial institutions.
W.J. Bonfanti Selects Lava's ColorPalette; Lava's Order Management System to Support WJB's Trading Platform
Registered Representatives of NPA can now offer these alternative investment products to other broker/dealers, registered investment advisors, family offices, institutions, as well as its high net worth clientele.
Nationwide Planning Associates, Inc. Launches Alternative Investment Platform

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