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An individual or firm that: (1) for compensation; (2) is engaged in the business of; (3) providing advice, making recommendations, issuing reports, or furnishing analyses on securities, either directly or through publications. A person or firm must satisfy all three elements to be regulated under Section 202(a)(11) of the Investment Advisers Act of 1940, but there are a small number of exemptions for lawyers, accountants, and the like.

Synonyms: RIA, RIAs, investment adviser, investment advisor, registered investment advisor, investment advisers
Synonyms list (a comma-separated list)
RIA, RIAs, investment adviser, investment advisor, registered investment advisor, investment advisers