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I Am an Investment Adviser and I Know That I Am, I Think

Dashboard > State Securities Acts and Related Rules and Regulations > I Am an Investment Adviser and I Know That I Am, I Think

I Am an Investment Adviser and I Know That I Am, I Think

To be or not to be an investment adviser, that is the question. There are many folks out there who may fit within the USA’s definition of investment adviser, but would rather not because of the regulatory scrutiny and added pain-in-the-tuckus paperwork. Here’s what the document says:

"Investment adviser" means a person that, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or the adv...

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