Registered investment adviser

Registered investment adviser
SEC-registered individual or firm that substantiates completion of education and work experience in the field, and pays an annual membership fee.

Registered Investment Adviser Abbreviated as RIA, which refers to an investment advisor registered with the SEC. No certification is required.

The IAPD Program provides information about both SEC- and state-registered investment adviser firms. The SEC typically regulates investment advisers that have in excess of $25 million in assets under management.

Michael "Mack" Frankfurter is a co-founder and Managing Director of Operations for Cervino Capital Management LLC, a commodity trading advisor and registered investment adviser trading from Los Angeles , California . Mr.

Registered investment adviser
Registered investment company
Registered options trader
Registered representative
Registered Retirement Savings Plan (RRSP)
Registered secondary offering
Registered security
Registered trader
Registrar
Registration ...

an employee benefit plan, within the meaning of the Employee Retirement Income Security Act, if a bank, insurance company, or registered investment adviser makes the investment decisions, or if the plan has total assets in excess of $5 million; ...

Market letter
A newsletter analyzing the market that is written by an SEC-registered investment adviser who sells the letter to subscribers. See: Hulbert Rating.

REGISTERED INVESTMENT ADVISOR
Investment advisers who register with the Securities and Exchange Commission (SEC) and agree to be regulated by SEC rules are known as registered investment advisers.

Institutional investor: A investor who is a bank, savings and loan association, insurance company, registered investment company, federal- or state-registered investment adviser, or any other person, corporation, partnership, trust, ...

If your conflict is with a registered investment adviser, you should contact the Securities and Exchange Commission (SEC). Advocates of dispute resolution note that it tends to be quicker, cheaper, and less confrontational than litigation.

See also: Investment, Securities, Investment adviser, Asset, Stock