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1. adviserinfo.sec.govIAPD - Investment Adviser Public Disclosure - Homepage

   adviserinfo.sec.gov

   IAPD provides information on Investment Adviser firms regulated by the SEC and/or state securities regulators.

2. www.sec.gov › data-research › sec-markets-dataSEC.gov | Information About Registered Investment Advisers and...

   www.sec.gov › data-research › sec-markets-data

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   1 paź 2024 · How To Obtain Information About Specific Investment Advisers. You can view a SEC-registered investment adviser, SEC Exempt Reporting Adviser, or State-registered investment adviser's most recent Form ADV online by visiting the Investment Adviser Public Disclosure (IAPD) (www.adviserinfo.sec.gov) website.

3. www.sec.gov › divisions › investmentHow To Register as an Investment Adviser - SEC.gov

   www.sec.gov › divisions › investment

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   14 paź 1999 · If you are required to register with the SEC as an investment adviser, you must file Form ADV and keep it current by filing periodic amendments, including an annual amendment on Schedule I to Form ADV.

4. www.sec.gov › about › divisions-officesDivision of Investment Management - SEC.gov

   www.sec.gov › about › divisions-offices

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   4 dni temu · The Division of Investment Management develops regulatory policy for investment advisers and investment companies, including mutual funds, exchange-traded funds, and other funds and products in the asset management industry.

5. adviserinfo.sec.gov › pubsearchIAPD - Investment Adviser Public Disclosure - Homepage

   adviserinfo.sec.gov › pubsearch

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   IAPD provides information on Investment Adviser firms regulated by the SEC and/or state securities regulators

6. www.investopedia.com › terms › rRegistered Investment Advisor (RIA): Definition, Duties, and ...

   www.investopedia.com › terms › r

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   7 lip 2024 · A registered investment advisor (RIA) is a financial professional firm that advises clients on securities investments and may manage their financial portfolios. RIAs are registered with...

7. www.investopedia.com › terms › iWhat Is an Investment Adviser, How Do They Work? - Investopedia

   www.investopedia.com › terms › i

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   21 maj 2024 · An investment adviser with sufficient assets to be registered with the Securities and Exchange Commission (SEC) is known as a Registered Investment Adviser (RIA).