Investment advisers,

MarketWatch  Apr 1  Comment 
The average advisory fee now tops an unjustifiable 1%, says Cullen Roche.
The Economic Times  Mar 12  Comment 
Sebi barred Global Mount Money Research and Advisory, its directors and group firms from acting as investment advisers after alleged unauthorised investment tips.
The Hindu Business Line  Mar 1  Comment 
Individual investment advisers providing opinion on securities or public offers through TV channels or other media platforms will be required to obtain registration as Research Analysts, regulator...  Jan 21  Comment 
Not Wall Street strategists. People who are likely to advise you on your own money.
MarketWatch  Nov 11  Comment 
Those who come off a string of successes often do stupid things, says Mark Hulbert.
Reuters  Oct 14  Comment 
Client assets managed by registered investment advisory groups in the United States jumped by nearly $7 trillion in 2014 as more securities brokers and clients joined the...
TechCrunch  Jul 14  Comment 
 In the world of personal finance, robo-advisers like Betterment, Wealthfront and FutureAdvisor are all the rage now. They invest your money in low-fee index funds for you and reshuffle your portfolio as necessary. That’s a problem for the...
Wall Street Journal  Jul 10  Comment 
Bank of Montreal's latest gambit in the fight for market share in wealth management: Hire more women.
Mondo Visione  Feb 20  Comment 
The Securities and Exchange Commission today announced that its Office of Compliance Inspections and Examinations (OCIE) is launching an initiative directed at investment advisers that have never been examined, focusing on those that have been...
Mondo Visione  Dec 13  Comment 
The Securities and Exchange Commission today announced the opening of registration for its compliance outreach program’s national seminar for investment companies and investment advisers.  The event is intended to help these firms’ Chief...


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Investment advisers

A person who gives advice on Investments. Those who work for closed-end companies, 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. [1]

Means any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities. The spellings investment adviser and Investment advisor are both correct. [1]

From advice c.1300 from avis "opinion, it seems to me, in my view. [2]1610s, agent noun from advise. [3]


  1. Investment Advisers Act of 1940
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