Investment Advisers

An investment adviser is someone who receives compensation for giving individually tailored advice to a specific person on investing in stocks, bonds, or mutual funds. Some investment advisers also manage portfolios of securities. For more information about investment advisers, read our publication entitled Investment Advisers: What You Need to Know Before Choosing One.

For information on how to register as an investment adviser, please visit the SEC’s IARD web page.

http://www.sec.gov/answers/invadv.htm