More terms
Registered Investment Adviser
An investment adviser registered with the SEC or a state regulator and subject to the applicable registration, disclosure, conduct, and examination framework.
What traders should verify
For Registered Investment Adviser, inspect the legal structure, adviser and Form ADV, investor eligibility, strategy, holdings, fees, leverage, liquidity, conflicts, and reporting date.
Do not conflate
The label Registered Investment Adviser does not by itself establish registration status, current holdings, liquidity, risk, performance, or investor eligibility.
Primary source
SEC definitionSource boundary: this glossary reflects SEC staff views and is not a Commission rule, regulation, or statement. Check the linked source for current wording and legal context.