As 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 (RIA). Investment advisors are prohibited from disseminating advice which is deceitful or fraudulent.
The collaborative culture with eminent legal Professionals enable our firm to continually review and enhance best practices and technological capabilities. The experience and insight gained through firm-wide cooperation also allows our professionals to learn and develop through their careers by working side-by-side with industry leaders and innovators.
As a result, our dedicated audit and advisory professionals are experts in their fields, harmonizing with clients to anticipate opportunities on the horizon rather than react to short-term competitive pressures.