investment advisor


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ThesaurusAntonymsRelated WordsSynonymsLegend:
Noun1.investment advisor - 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"
Based on WordNet 3.0, Farlex clipart collection. © 2003-2012 Princeton University, Farlex Inc.
References in periodicals archive ?
Prime Capital Investment Advisors Prime Capital Investment Advisors provides a client-centric, team approach to full-service financial planning, including fee-based asset management and wealth management.
Horizon Investments, which won in the Strategist category this year for its Goals Based Solutions offering, was chosen from among the winners by Envestnet and Investment Advisor as the overall Manager of the Year, an elite honor given to firms that embody investment management excellence.
If, however, the provider offers portfolios created by the robos, or functionality that brings it within the definition of "investment adviser" under Section 202(a)11 of the Advisers Act, then the technology provider should also be required to register, either as an investment advisor under the Advisers Act, or as a robo platform under the new regulatory category proposed in this article.
Translation: an investment advisor that does not have a place of business in Texas (for example) and does not have more than five clients in Texas may not be required by Texas to register or become licensed there.
* If you're an SEC-registered investment advisor, you must adopt your own ethics code as prescribed by SEC Rule 204A-1.
The study also shows that more than two-thirds (69%) of Canadian investors have used the services of a financial or investment advisor within the past 12 months.
An investment advisor appointed under a 401 (k) plan assumes a fiduciary role with respect to that plan and the investment of its plan assets over which the investment advisor exercises investment discretion.
to AFIAA's portfolio," said Hans Jurg Stucki, managing director of the investment advisor to AFIAA, AFIAA-REIM, upon closing the transaction.
Until then, those publishers were required to register with the SEC and meet all regulations and standards established for investment advisors who actually hold and invest clients' funds.
Kemper Vestis automatically provides Internet liability coverage with the purchase of investment advisor professional liability, mutual fund management and professional liability, or service provider professional liability.
In his defense, Miller argued that he did not meet the definition of an "investment advisor" for three reasons: (1) He was not "in the business" of providing securities advice; (2) he did not provide securities advice "for compensation" and (3) he was not a registered investment advisor.
Under Rule 206(4)-1(a)(1) of the Investment Advisers Act of 1940, it is a fraudulent, deceptive or manipulative act for an investment advisor to "directly or indirectly" publish, circulate or distribute any advertisement that "refers, directly or indirectly, to any testimonial of any kind concerning the investment advisor or concerning any advice, analysis, report or other service rendered by such investment advisor [emphasis added]."

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