Knowledge Base

What’s an investment advisor?


Search Knowledge Base by Keyword

What’s an investment advisor?

< Back

An investment advisor is an individual or entity that (1) provides advice or analysis by making direct or indirect recommendations regarding securities or securities markets; (2) for compensation in any form; and (3) engages in the regular business of providing advice regarding securities. (It should be noted that there are certain individuals that are excluded from the definition of investment advisor.)

Unless otherwise indicated, all materials on these pages are copyrighted by RIA Compliance Consultants, Inc. All rights reserved. No part of this Sample Form, slides, webinar, either text, image, or audio may be used for any purpose other than personal use. Reproduction, modification, storage in a retrieval system or retransmission, in any form or by any means, electronic, mechanical or otherwise, for reasons other than personal use, is strictly prohibited without prior written permission.