Financial Glossary  
           
 Glossary Tutorials Articles About Advertise Contact
Browse the largest investing glossary online.   Search
A
1|2|3
B
1|2
C
1|2|3
D
1|2|3
E
1|2|3
F
1|2|3
G
1|2|3
H
1|2|3
I
1|2|3
J
1|2
K
1|2|3
L
1|2|3
M
1|2|3
 
N
1|2|3
O
1|2|3
P
1|2|3
Q
1|2
R
1|2|3
S
1|2|3
T
1|2|3
U
1|2|3
V
1|2|3
W
1|2
X
1|2
Y
1|2|3
Z
1|2
#
1|2

 
Include Definitions
(more results)
Browse by Category
 
Investing / Investments
Real estate investing
Stock investing
Investment management
Retirement investing
Bonds / bond funds
Mutual Funds
 
Personal Finance
Business and finance
Household finance
Mortgage
Finance dictionary
Corporate finance
Financial service
Money management
Estate planning
Loans
 
Stock Market Investing
Stock research
Stock trading
Stock options
Stock trading
Stock exchanges
 
 
InvestHub.com's
Finance Dictionary and Glossary of Investment Terms

Registered investment adviser  

Definition 1.

SEC-registered individual or firm that substantiates completion of education and work experience in the field, and pays an annual membership fee.
 

Definition 2.

An RIA is an individual who has registered with the Securities & Exchange Commission (SEC) and holds himself or herself out to be an investment advisor. Registration is required of anyone who, for compensation and as part of a business, gives advice, makes recommendations, issues reports or furnishes analysis on securities either directly or through publications. If a planner is an employee of an advisory firm such as a brokerage house, the brokerage house will have a blanket registration with the SEC for all employees. They are required to present a copy of the filing. RIA is not a credential. It simply means that an individual or a firm has submitted certain filings to the Securities and Exchange Commission and paid a modest fee. They can become registered without passing a test or demonstrating a degree of skill.
 
  Home | Glossary | Tutorials | Articles | About
Webmasters |Advertise | Contact | Privacy


All material Copyright InvestHub.com and IAT Inc., 2003-2014