The Schwab Impact Award recognized the various achievements of its registered investment advisor clients.
The manager indicated in the offering memorandum that it was a registered investment advisor.
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And, when a registered investment advisor charges performance-based compensation, by law, the advisor must make a specific disclosure to the client.
Disclosure: I am the portfolio manager for mutual and hedge funds advised by Marketocracy Capital Management, an SEC registered investment advisor.
The company is a U.S. Securities and Exchange Commission Registered Investment Advisor.
Disclosure: I am the portfolio manager for separately managed accounts, mutual and hedge funds advised by Marketocracy Capital Management, an SEC registered investment advisor.
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If they are affiliated with a registered investment advisor, however, they have a fiduciary duty for their investment advice and if they personally manage your portfolio.
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S. from the University of Richmond and an MBA from Columbia University and is a CPA. He is a registered investment advisor with the SEC.
Lost on them are the distinctions between types of advisors such as Registered Representative and Investment Advisor Representative, between Certified Financial Planner and Certified Financial Analyst, and between firm types such as Broker-Dealer and Registered Investment Advisor.
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Gramercy Capital is a Registered Investment Advisor.
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Financial advisors are Registered Investment Advisors (RIAs) or Investment Advisor Representatives (IARs).
There are more than 275, 000 so-called investment advisor representatives registered with the Securities and Exchange Commission.
Always obtain independent advice from a qualified, registered financial advisor before making any investment decisions.
Also keep in mind that a financial advisor could be registered as both a Series 7 stockbroker with FINRA as well as an investment advisor with the SEC or state regulator.
The Top Advisor list ranked RIAs (registered investment advisors) based on total assets under management.
Girouard is the author of The Ten Truths of Wealth Creation and a Registered Principal of Cambridge Investment Research, and an Investment Advisor Representative of Capital Investment Advisors, in Bethesda, MD.
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