investment adviser

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Investment adviser

A person or an organization that makes the day-to-day decisions regarding a portfolio's investments. Also called a portfolio manager.

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.

investment adviser

A person who offers professional investment advice. Investment advisers are required to register with the SEC.
References in periodicals archive ?
Giachetti is chairman of the Securities Practice Group of Stark & Stark, a law firm with offices in Princeton, New York, and Philadelphia that represents investment advisors, financial planners, BDs, CPA firms, registered reps, and investment companies, and a regular contributor to Investment Advisor.
All investment advisors registered with the Securities and Exchange Commission as of Dec.

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