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    Investment Advisers Act Stocks List

    Symbol Grade Name % Change
    SHLD C Global X Defense Tech ETF 0.86
    DHIL A Diamond Hill Investment Group, Inc. 1.43
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    Related Industries: Asset Management
    Related Stock Lists: Advisory And Related Services Business Management Financial Adviser Index Fund Investment Advisory Services Investment Management Mutual Fund Registered Investment Adviser Regulatory Compliance

    Related ETFs - A few ETFs which own one or more of the above listed Investment Advisers Act stocks.

    Symbol Grade Name Weight
    DEEP B Roundhill Acquirers Deep Value ETF 1.03
    FDM A First Trust DJ Select MicroCap ETF 0.82
    OUSM B O'Shares FTSE Russell Small Cap Quality Dividend ETF 0.56
    SQLV B Legg Mason Small-Cap Quality Value ETF 0.41
    KCE A SPDR S&P Capital Markets ETF 0.36
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        Investment Advisers Act Stocks Recent News

        Date Stock Title
        Nov 22 SHLD 3 ETFs With PLTR Exposure To Consider As Nasdaq-100 Rebalance Looms
        Related Industries: Asset Management
        Related Stock Lists: Advisory And Related Services Business Management Financial Adviser Index Fund Investment Advisory Services Investment Management Mutual Fund Registered Investment Adviser Regulatory Compliance
        Investment Advisers Act

        The Investment Advisers Act of 1940, codified at 15 U.S.C. § 80b-1 through 15 U.S.C. § 80b-21, is a United States federal law that was created to monitor and regulate the activities of investment advisers (also spelled "advisors") as defined by the law. It is the primary source of regulation of investment advisers and is administered by the U.S. Securities and Exchange Commission.

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