A registered investment adviser (RIA) is a firm that is an investment adviser in the United States, registered as such with the Securities and Exchange...
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Registered Investment Adviser (RIA) refers to an IA that is registered with the SEC or a state's securities agency and typically provides investment advice...
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The Investment Advisers Act of 1940, codified at 15 U.S.C. § 80b-1 through 15 U.S.C. § 80b-21, is a United States federal law that was created to monitor...
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Stockbroker (redirect from Investment broker)
financial advisor and investment manager. In this case they may also be licensed as a financial adviser such as a registered investment adviser (in the United...
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Securities Institute Investment Advisor, an individual or firm that advises clients on investment matters Registered Investment Adviser, an individual or...
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licensed investment adviser representatives. The exam covers topics necessary to provide investment advice to clients. The Uniform Investment Adviser Law Examination...
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Cambridge Investment Group, Inc., that comprised multiple broker-dealers and registered investment adviser subsidiaries, including: Cambridge Investment Research...
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accounts. The company is a U.S. Securities and Exchange Commission Registered Investment Adviser. Investors include government and private sector pension and...
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Hightower Advisors (category Investment management companies of the United States)
and investment advisory firm headquartered in Chicago, Illinois. In 2023, Barron's ranked it as No. 2 on its Top 100 Registered investment adviser (RIA)...
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virtual environments Investment Adviser Representative employed by a registered investment adviser, a firm that is an investment adviser in the United States...
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own investment process and brand, and the services of unaffiliated sub advisers. Virtus Investment Partners, formerly known as Phoenix Investment Partners...
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Clearing LLC, a financial custodian; Axos Bank, a direct bank; registered investment adviser services via Axos Advisor Services; and operates an electronic...
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Commonwealth Financial Network is a privately held Registered Investment Adviser–independent broker/dealer based in Waltham, Massachusetts, and 110 Plaza...
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Accredited investor (category Investment)
106); or an investment fund that is advised by a person registered as an adviser or a person that is exempt from registration as an adviser. Note that...
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through its Milan branch. Algebris Investments (US) Inc is a SEC registered Investment Adviser. Algebris Investments (Asia) Pte. Ltd is a Licensed Fund...
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1934 FNB Investment Services for individuals, corporations, and retirement funds FNB Investment Advisors, Inc., a registered investment adviser under the...
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is needed to pass and become eligible for registration as a Registered Investment Adviser Representative. Prior to July 1, 2016, candidates had to attain...
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Sandler O'Neill and Partners (category Former investment banks of the United States)
operated a mortgage finance company and registered investment adviser based in Memphis. Sandler O'Neill provided investment banking services to financial institutions...
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FrontPoint Partners (category Investment management companies of the United States)
London. FrontPoint was a registered investment adviser in the United States and was a wholly owned subsidiary of investment bank Morgan Stanley. After...
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Real Estate Corporation is a SEC Registered Investment Adviser that manages private equity real estate investments and provides real estate services...
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Michael Batnick (category American finance and investment writers)
on the investment committee and is the director of research at Barry Ritholtz's Ritholtz Wealth Management LLC, a registered investment adviser firm. Batnick...
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BDC, under the Investment Company Act of 1940. Ares Capital Management LLC: an SEC-registered investment adviser, is the investment adviser to Ares Capital...
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First Manhattan (category Investment management companies of the United States)
with operating subsidiaries that include an SEC-registered investment adviser and a broker-dealer registered with FINRA. As of 2024[update] FM is led by Zac...
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fixed index annuity (FIA). In March 2003, Jackson entered the registered investment adviser channel with the launch of Curian Capital LLC. Jackson's acquisitions...
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services. It serves as a registered Corporate Agent under Insurance Regulatory and Development Authority, a registered Investment Adviser under Securities and...
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In March 2018, the company acquired JCR Capital Investment Corporation, a Registered Investment Adviser. In November 2018, the company acquired iCap Realty...
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Blooom, often stylized as "blooom", was an online Registered Investment Adviser that managed individual participant accounts in IRAs and in employer sponsored...
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Andreessen Horowitz (section Notable investments)
governments. In 2019, the firm applied to restructure as a registered investment adviser in order to have more freedom to take up riskier bets like cryptocurrency...
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Mutual fund (section Unit investment trusts)
as a fund family or fund complex. A fund manager must be a registered investment adviser. In the European Union, funds are governed by laws and regulations...
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securities. Form 13F covers institutional investment managers, which include Registered Investment Advisers (RIAs), banks, insurance companies, hedge...
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