Investment Advisory

Investment Advisory Services

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.

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