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.
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.
References in periodicals archive ?
So, you might ask, didn't NSMIA create a national de minimis exemption from investment advisor registration?
If a 401(k) plan offers proprietary mutual funds from that investment advisor, a prohibited-transaction exemption would require reducing the investment advisory fee by the amount of investment advisory fees paid by the proprietary mutual fund to the investment advisor or its affiliates.
The court also used SEC guidance to determine Miller was "in the business" of providing securities advice because he held himself out as a person who provides investment advice, and because he was a registered investment advisor representative, which may involve rendering securities advice.
In the SEC's 1995 no-action letter regarding Gallagher and Associates Ltd., an investment advisor providing only financial planning services sought no-action relief relative to publishing comments from his clients about his "religious affiliation or general moral character; community service; trustworthiness and ethical character; diligence and attention to details; ability to listen and be sensitive to client needs; knowledge of investing, insurance and tax strategies (but never with reference to attained return on investment); and prudence and judgment."
The investment advisor has a unique style that you must be comfortable with.
Consider the single member investment advisor with no other representatives.
Although the SEC alert focuses on RIA firms, investment advisor representatives can reasonably expect greater scrutiny as RIAs ramp up their compliance efforts with social media.
(See "Seeking An Investment Advisor," November 1998.) To make the process a little easier, here are some step-by-step guidelines that can help you find the planner who's right for you.
A "new paradigm," or a new way of approaching fundamental issues is needed by institutional real estate investors, according to the Annual Property Report released by The Yarmouth Group, the New York-based international real estate investment advisor.
Investment Advisor Magazine has recognized Prospera Financial Services, Inc.

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