Investment Advisory

Real Estates
August 30, 2016
Investment Banking
August 30, 2016
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Investment Advisory

INVESTMENT ADVISOR

is defined by the Investment Advisors Act of

1940, any person or group that makes investment recommendations or conducts

securities analysis in return for a fee, whether through direct management of client

assets or via written publications.
An investment advisor who has sufficient assets to be registered with the SEC is

known as a Registered Investment Advisor, or RIA. Investment advisors are prohibited

from disseminating advice known to be deceitful or fraudulent, and from acting as a

principal on their own accounts by buying and selling securities between themselves

and a client without prior written consent.

CONTENT:

  • Role
  • Compensation
  • Advisor vs. adviser
  • Regulation