investment adviser

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Noun1.investment adviser - someone who advises others how to invest their money
investment advisor
adviser, advisor, consultant - an expert who gives advice; "an adviser helped students select their courses"; "the United States sent military advisors to Guatemala"
Based on WordNet 3.0, Farlex clipart collection. © 2003-2012 Princeton University, Farlex Inc.
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References in periodicals archive
BNY Mellon Securities Corporation, a wholly owned subsidiary of BNYM Investment Adviser was the Fund's principal underwriter and distributor in connection with the offering.
BNY Mellon Alcentra Global Multi-Strategy Credit Fund prices IPO at USD 100/share
The guidance clarifies how an investment adviser's fiduciary duty and Rule 206(4)-6 under the Advisers Act relate to an adviser's proxy voting on behalf of clients, particularly if the investment adviser retains a proxy advisory firm.
SEC Clarifies Investment Advisers' Proxy Voting Responsibilities and Application of Proxy Rules to Voting Advice
Investment advisers owe each of their clients a duty of care and loyalty with respect to services undertaken on the clients’ behalf, including proxy voting.0x20 Rule 206(4)-6 under the Advisers Act requires an investment adviser who exercises voting authority with respect to client securities to adopt and implement written policies and procedures that are reasonably designed to ensure that the investment adviser votes proxies in the best interest of its clients.0x20
SEC Clarifies Investment Advisers' Proxy Voting Responsibilities and Application of Proxy Rules to Voting Advice
Investment professionals whose firms are registered with the SEC or the relevant state securities regulator will often represent themselves as an "investment adviser." The title suggests that they are a "fee-only" adviser.
Delving into the subtle difference between 'advisors' and 'advisers'
US-based investment adviser Brookfield Asset Management's Public Securities Group has closed the acquisition of US-based investment adviser Center Coast Capital Advisors, LP's Center Coast Capital Holdings, LLC affiliate, the company said.
Deal snapshot: BROOKFIELD PUBLIC SECURITIES CLOSES ACQUISITION OF CENTER COAST CAPITAL, CERTAIN ASSETS OF LIBERTY STREET ADVISORS AND HRC
The company that acquired Towson-based Everest Wealth Management, which kept its license after former owner Philip Rousseaux lost his investment adviser registration, was ordered to halt investment advisory operations Friday.
Company that acquired 'Money Guys' firm ordered to stop advising investors
The amendments require investment advisers to provide additional information regarding Separately Managed Accounts (SMA), additional materials regarding the calculation and distribution of performance information, required identification of any custodians holding 10% or more of the investment adviser's SMA RAUM, and permit the 'umbrella registration' regime under which private fund advisers operating as a single advisory business may register with the SEC using one Form ADV.
Daniel G. Viola, Partner, Sadis & Goldberg LLP to Speak at the Knowledge Group's Event
Carolyn McCarthy (D-N.Y.) are co-authors of the Investment Adviser Oversight Act of 2012.
Bipartisan Bill Seeks Expanded Oversight of Advisers
New York did not provide confirmation that it conducts exams of advisory firms when surveyed by the SEC; Minnesota reported it doesn't conduct exams; and Wyoming doesn't have an investment adviser law.
Fund advisers: face new registration reporting regs: SEC rules, implementing Dodd-Frank requirements, include" family office" exclusions from Investment Advisers Act of 1940
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