Registered Investment Adviser Stocks List
|DHIL||B||Diamond Hill Investment Group, Inc.||-0.55|
|PUK||A||Prudential Public Limited Company||1.22|
|WDR||D||Waddell & Reed Financial, Inc.||0.04|
|VCTR||A||Victory Capital Holdings, Inc.||7.56|
|BCSF||A||Bain Capital Specialty Finance, Inc.||-0.57|
|AMK||F||AssetMark Financial Holdings, Inc.||0.36|
|KBWD||A||PowerShares KBW High Dividend Yield Financial Portfolio ETF||3.46|
|BIZD||A||Market Vectors BDC Income ETF||3.14|
|MARB||B||First Trust Merger Arbitrage ETF||3.11|
|KCE||A||SPDR S&P Capital Markets ETF||2.46|
|BDCZ||C||ETRACS Wells Fargo Business Development Company Index ETN Series B due April 26, 2041||2.14|
View all Registered Investment Adviser related ETFs...
|2021-04-09||AMK||Lower Bollinger Band Walk||Weakness|
|2021-04-09||AMK||Pocket Pivot||Bullish Swing Setup|
|2021-04-09||AMK||Stochastic Reached Oversold||Weakness|
|2021-04-09||BCSF||Upper Bollinger Band Walk||Strength|
|2021-04-09||BCSF||New 52 Week High||Strength|
|2021-04-09||BCSF||MACD Bullish Signal Line Cross||Bullish|
|2021-04-09||DHIL||20 DMA Support||Bullish|
|2021-04-09||DHIL||Non-ADX 1,2,3,4 Bullish||Bullish Swing Setup|
|2021-04-09||PUK||Pocket Pivot||Bullish Swing Setup|
|2021-04-09||PUK||Three Weeks Tight||Range Contraction|
|2021-04-09||PUK||Bollinger Band Squeeze||Range Contraction|
|2021-04-09||PUK||Crossed Above 20 DMA||Bullish|
|2021-04-09||VCTR||Stochastic Reached Overbought||Strength|
|2021-04-09||VCTR||New 52 Week High||Strength|
|2021-04-09||VCTR||Expansion Breakout||Bullish Swing Setup|
|2021-04-09||VCTR||Pocket Pivot||Bullish Swing Setup|
|2021-04-09||VCTR||New 52 Week Closing High||Bullish|
A Registered Investment Adviser (RIA) is a firm that is an Investment adviser in the United States, registered as such with the Securities and Exchange Commission or a state's securities agency. The numerous references to RIAs within the Investment Advisers Act of 1940 popularized the term, which is closely associated with the term investment advisor (spelled "investment adviser" in U.S. financial law). An investment adviser is defined by the Securities and Exchange Commission as an individual or a firm that is in the business of giving advice about securities. However, an RIA is the actual firm, while the employees of the firm are called Investment Adviser Representatives (IARs).
Registered Investment Advisor firms receive compensation in the form of fees for providing financial advice and investment management. They are required to act as a fiduciary. This is very different from broker-dealers and their representatives, who provide recommendations for a commission. Broker-dealers and their representatives are not required to act as a fiduciary, they simply must make suitable recommendations for a client. This is a different standard of care, but most consumers are unaware of the difference, as any of these professionals may call themselves a financial advisor.
In some instances a firm may be "dual registered", meaning they are a registered investment adviser along with being registered as a broker-dealer. In that case they may provide advice for a fee and collect a commission on certain product sales.