How Can an Investment Advisor Help Me See the Big Picture?

Welcome to the Investment Adviser Public Disclosure website ... For a complete compilation of Investment Adviser Firms currently registered with the SEC and ... We are a 100% employee-owned firm, operating as a genuine solutions provider and extension of staff for world-leading asset owners. Research investment opportunities. Personal financial advisors assess the financial needs of individuals and help them with decisions on investments (such as ... Obtaining an Investment Advisor Business License. In order to sell investment products, financial advisors must obtain licensure. There are four types of ... For questions regarding the registration status and/or disciplinary history of broker-dealers, agents, investment advisors, and ... Jan 1, 2025 ... Advisers included in this list have met the minimum standards established by Utah Administrative Code, Section R628-15. Inclusion in the list of ... 1.Is there a de minimis Rule for investment advisers? Answer: Yes. Generally, a person without a place of business in this state if the person has had, during ... ... investment company or investment trust registered under the Investment ... adviser with authority with respect to such decisions is an investment adviser. SEIA DISCLOSURE Signature Estate & Investment Advisors, LLC (SEIA) is an SEC-registered investment adviser; however, such registration does not imply a certain ... Investment Advisers must pay a $100 fee by December 31st of each year to renew their registration in Minnesota. Registration fees must be paid through the IARD ...