Registered Investment Adviser Stocks List

Recent Signals

Date Stock Signal Type
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 NR7 Range Contraction
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 Volume Surge Other
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
Related Industries: Asset Management Insurance - Life

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.

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