investment adviser


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Related to investment adviser: Registered Investment Advisors

Investment adviser

A person or an organization that makes the day-to-day decisions regarding a portfolio's investments. Also called a portfolio manager.
Copyright © 2012, Campbell R. Harvey. All Rights Reserved.

Investment Adviser

A person or business that provides investing advice or counsel to an investor in exchange for a fee. Investment advisers may interact directly with a client (e.g. by managing assets), or may provide passive, general advice on which securities or industries are bullish or bearish. Investment advisers managing more than a certain amount of money must register with the SEC; the actions of all investment advisers are governed by the Investment Advisers Act of 1940. Importantly, it is a criminal offense for investment advisers to provide false or misleading information, and to sell or buy their own securities to or from a client.
Farlex Financial Dictionary. © 2012 Farlex, Inc. All Rights Reserved

investment adviser

A person who offers professional investment advice. Investment advisers are required to register with the SEC.
Wall Street Words: An A to Z Guide to Investment Terms for Today's Investor by David L. Scott. Copyright © 2003 by Houghton Mifflin Company. Published by Houghton Mifflin Company. All rights reserved. All rights reserved.
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* What steps an investment adviser, who has assumed voting authority on behalf of clients, could take to demonstrate it is making voting determinations in a client's best interest and in accordance with the investment adviser's proxy voting policies and procedures;
SEC Clarifies Investment Advisers' Proxy Voting Responsibilities and Application of Proxy Rules to Voting Advice
* How an investment adviser and its client, in establishing their relationship, may agree upon the scope of the investment adviser’s authority and responsibilities to vote proxies on behalf of that client;
SEC Clarifies Investment Advisers' Proxy Voting Responsibilities and Application of Proxy Rules to Voting Advice
Once you get past investment adviser and registered representative, and adviser v.
Delving into the subtle difference between 'advisors' and 'advisers'
Though the Empire State does not utilize the Form U4, it does have its own "Investment Adviser Qualification" or NY-IAQ form that is used to collect information from individuals seeking to provide investment advice within its borders.
New York RIA Registration Quirks
During his tenure at the SEC, he worked on several compliance inspection projects involving compliance examinations of registered investment advisers to ensure compliance with the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, and the Securities Exchange Act of 1934.
Daniel G. Viola, Partner, Sadis & Goldberg LLP to Speak at the Knowledge Group's Event
The legislation would amend the Investment Advisers Act of 1940 to provide for the creation of National Investment Adviser Associations (NIAAs), registered with and overseen by the SEC.
Bipartisan Bill Seeks Expanded Oversight of Advisers
And further added that, "That's not likely to change, so it just makes sense for our dually registered members to undergo broker-dealer and investment adviser examinations at the same time, by the same regulator."
SRO Hearing in the House
The amendment allows an adviser to pay a registered municipal adviser to act as a placement agent to solicit government entities on its behalf, if the municipal adviser is subject to a pay-to-play rule adopted by the Municipal Securities Rulemaking Board (MSRB) that is at least as stringent as the investment adviser pay-to-play rule.
Fund advisers: face new registration reporting regs: SEC rules, implementing Dodd-Frank requirements, include" family office" exclusions from Investment Advisers Act of 1940
Among the recommendations in its "Study on Enhancing Investment Adviser Examinations," the SEC is seeking to impose user fees on SEC-registered investment advisers to fund their exams by the Office of Compliance Inspections and Examinations.
SEC struggles with surge of advisers
Many do not present themselves to the general public as an investment adviser, nor do they act as an investment adviser to a registered investment company.
Dodd-Frank legislation impacts the real estate industry
They--as many others--would want to know, "Do the amended Investment Adviser rules apply to me?"
Are you a fiduciary?
"When those recommendations are made professionally, the person making the recommendations must be registered as an investment adviser. Only then can the investing public have some confidence in the soundness of such recommendations."
Cease-and-desist order issued on Maumelle man

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