Registered Investment Adviser. A Person duly registered as an investment adviser in accordance with and pursuant to Section 203 of the Investment Advisers Act of 1940, as amended.
Registered Investment Adviser means a Person duly registered as an investment adviser (including by being identified as a “relying adviser” in Section 1.B., Schedule D of its related “filing adviser’s” Form ADV) in accordance with and pursuant to Section 203 of the Investment Advisers Act of 1940, as amended.
Registered Investment Adviser means an investment adviser who has been issued a registration certificate by the Commissioner under Section 15 of this Act.
Examples of Registered Investment Adviser in a sentence
As we are a Registered Investment Adviser, we are subject to rules and regulations promulgated by the SEC.
Cambria Capital, LLC is registered with the Securities and Exchange Commission (“SEC”) as a broker-dealer and is a State Registered Investment Adviser.
As a Registered Investment Adviser, Galliard has a fiduciary responsibility to act prudently and in the best interests of our clients.
Covered Security transactions executed on a fully discretionary basis by a Registered Investment Adviser (other than RIM) on behalf of a Supervised Person and a letter stating such is maintained in the file.
SEC Registered Investment Adviser (dba BL Advisory Services, Inc., AL, GA, IA, MT, NV, PA).
More Definitions of Registered Investment Adviser
Registered Investment Adviser means any subsidiary (e.g. CTC Consulting, Inc.) or division of any subsidiary of U.S. Trust Corporation (e.g. U.S. Trust Asset Management Division) that is registered under the Investment Advisers Act of 1940.
Registered Investment Adviser means an investment adviser that is registered with the SEC pursuant to § 203(c) of the federalInvestment Advisers Act of 1940, as amended [15 U.S.C. § 80b-3(c)]. An agreement to provide investment advice (or the giving of investment advice) to a Participant or Beneficiary or Alternate Payee does not constitute a Registered Investment Adviser as an investment manager or investment advisor as to the Plan or any Master Trust.
Registered Investment Adviser means an investment advisor registered with the securities and exchange committee pursuant to the Investment Advisors Act of 1940.
Registered Investment Adviser means an Insured who meets the definition of investment adviser as defined in the Investment Advisers Act of 1940, as amended, and who is registered as required by law with either the Securities Exchange Commission (“SEC”) or the appropriate state authority.
Registered Investment Adviser means an investment adviser
Registered Investment Adviser means a licensed professional, including an individual, corporation, partnership or LLC, who meets the definition of Investment Adviser as defined in the Investment Advisers Act of 1940, as amended, and who is duly registered with either the Securities Exchange Commission (“SEC”) or the appropriate state or self securities regulatory agency.
Registered Investment Adviser means an investment advisor registered with the Securities