Registered Investment Advisor

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Definition

A firm or advisor that provides investment advisory services. RIAs are required to register with the Securities and Exchange Commission if they have over $25 million in assets under management.

‘‘Investment adviser’’ means any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensation and as part of a
regular business, issues or promulgates analyses or reports concerning securities.

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