investment adviser


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Related to investment adviser: Registered Investment Advisors
ThesaurusAntonymsRelated WordsSynonymsLegend:
Noun1.investment adviser - someone who advises others how to invest their money
adviser, advisor, consultant - an expert who gives advice; "an adviser helped students select their courses"; "the United States sent military advisors to Guatemala"
References in periodicals archive ?
The ADV Part 2A must be filed electronically through the Investment Adviser Registration Depository system by all investment advisory firms.
However, such expansion has increased the possibility of running afoul of the investment adviser rules.
04, page 32), the investment adviser profession has thus far avoided accusations of widespread fraudulent practices and the legislative scrutiny that ensues.
In lieu of commissions, an unbiased investment adviser who charges a flat fee can redirect revenue sharing to the plan trust through an open architecture platform.
Work together to hire an investment adviser for at least 25% of the investment portfolio.
It is very difficult to anticipate whether it will revise the definitions, and exclusions from the definition, of investment adviser.
The Manager, the Investment Adviser and the sub-advisers are affiliated with Nomura Securities Co.
The board typically approves contracts with an investment adviser to make appropriate investment decisions for the fund's portfolio, a transfer agent to administer shareholder purchases and redemptions of fund shares, and a principal underwriter to oversee the distribution of shares and payments for distribution, usually through intermediaries such as broker-dealers, banks and employee-benefit-plan administrators.
Persons excluded from the definition of investment adviser.
a trust and wealth management company; Davidson Fixed Income Management, a registered investment adviser providing wealth management and other fixed income services; and Davidson Travel, a full-service travel agency.
If a CPA wants to provide such advice, he or she must meet the testing and licensing requirements, just like any other investment adviser.