investment adviser

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Related to investment adviser: Registered Investment Advisors
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  • noun

Synonyms for investment adviser

someone who advises others how to invest their money

References in periodicals archive ?
FIRST: Unless the SEC extends the deadline (as it did with Part 2B), Part 2A must be filed electronically on the Investment Adviser Registration Depository no later than March 31, 2011.
Because the issues related to the investment adviser regulation are quite complex, they are not fully addressed here.
Above all else, investment adviser services are based on trust between the adviser and its clients.
Hire an unbiased professional investment adviser with a strict due diligence process for selecting retirement plan investments and is well-versed in the open architecture process.
Have the investment adviser review the rules for the client's company stock options.
The PFP Section of the AICPA will provide updates on changes to the investment adviser regulations and will continue to make its views known on how these changes might affect CPA financial planners and their clients.
Frequently, the investment adviser organizes or sponsors the fund and recruits its board members.
SEC Release 2000-38 provides that the SEC will conduct a roundtable on May 23, 2000, to discuss a variety of issues relating to investment advisers currently on its agenda and to seek industry and public input.
Some states require you to register your solicitors as investment adviser representatives, although the SEC doesn't," he says.
In a recent (not yet published) field service advice (FSA) memorandum, the IRS National Office advised that a bank acting as an investment adviser for its proprietary mutual funds was required to capitalize payments that the bank made to its money market funds to prevent the funds from falling below their targeted net asset values (NAVs).
The handbook is particularly useful to these practitioners because it defines the specific functions an investment adviser should perform.
Government agencies, including the SEC, heavily regulate the form and content of investment adviser advertising.