Registered Investment Advisor - RIA

A government commission created by Congress to regulate the securities markets and protect investors. In addition to regulation and protection, it also monitors the corporate takeovers ...

Personnel that work for investment advisory companies whose main responsibility is to provide investment related advice. According to regulations, IARs can only provide advice on topics ...

A client information form used by registered investment advisors and other asset managers that aids in determining the optimal portfolio mix for the client. An investment objective ...

A required submission to the Securities and Exchange Commission (SEC) by a professional investment advisor that specifies the investment style, assets under management (AUM), and key ...

Investing fads are current popular trends that relate to investments. Investing fads are normally characterized by a temporary excessive enthusiam for a certain investing style, which is ...

Any recommendation or guidance that attempts to educate, inform or guide an investor regarding a particular investment product or series of products. Investment advice can be ...

A professional designation awarded by the Center for Financial Certifications to debt settlement professionals who pass a certification exam. Successful applicants earn the right to use ...

Will charging fees instead of commission increase your client base?

These four steps will reduce your liability when managing other people's money.

Find out what problems arise for reps when they start to diversify their client offerings.

Finding your perfect advisor is as simple as shopping for a car. Read on to learn more.

We decode the meaning of the many letters that can follow the names of financial professionals.

Before you blame your advisor for your losses, be sure you know your rights and responsibilities.

The SEC database of brokers and advisors.