TITLE

A Peek Inside the RIA Community

PUB. DATE
October 2005
SOURCE
Journal of Financial Planning;Oct2005, Vol. 18 Issue 10, p24
SOURCE TYPE
Academic Journal
DOC. TYPE
Article
ABSTRACT
This article focuses on Evolution/Revolution: A Profile of the Investment Advisory Profession, the 2005 report of the Investment Adviser Association and the National Regulatory Services about investment advisers registered with the U.S. Securities and Exchange Commission (SEC). SEC-registered investment advisors (RIA) have grown 13.6 percent since April 2002, however, this growth in the future may pose a significant additional burden on the resources of the SEC. In addition, only 2,997 RIA listed on their ADV Form that they provide financial planning services.
ACCESSION #
18582189

 

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