Registered Investment Advisor
/ˈrɛdʒɪstərd ɪnˈvɛstmənt ædˈvaɪzər/
Definitions
- (n.) An individual or firm registered with the Securities and Exchange Commission (SEC) or state regulatory authorities to provide investment advice for compensation.
The registered investment advisor must comply with fiduciary duties to act in the best interest of clients.
Forms
- registered investment advisor
- registered investment advisors
Related terms
See also
Commentary
The term specifically denotes registration status under securities law, distinguishing from unregistered advisors; usage often relates to regulatory compliance and fiduciary obligations.
This glossary is for general informational and educational purposes only. Definitions are jurisdiction-agnostic but reflect terminology and concepts primarily drawn from English and American legal traditions. Nothing herein constitutes legal advice or creates a lawyer-client relationship. Users should consult qualified counsel for advice on specific matters or jurisdictions.