In anticipation of an SEC ruling requiring that all firms whose primary business is financial planning must become a Registered Investment Advisor (RIA), First Command filed with the SEC to become one in the spring of 2005.
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).
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As Investment Adviser Representatives (IARs) they are held to the "Fiduciary Standard" as defined under the US Investment Advisers Act of 1940 when providing investment advice to clients.
National Security Advisor | National Security Advisor (United States) | European Investment Bank | Alternative Investment Market | Investment Company Act of 1940 | Qatar Investment Authority | Marfin Investment Group | Investment | investment | Government of Singapore Investment Corporation | China Investment Corporation | registered nurse | Registered jack | UK Trade & Investment | Investment banking | Return on investment | Registered Retirement Income Fund | Registered Nurse | Registered nurse | Pennsylvania Real Estate Investment Trust | Oak Investment Partners | Investment management | investment banking | Collective investment scheme | Workforce Investment Act of 1998 | Wendell H. Ford Aviation Investment and Reform Act for the 21st Century | technical advisor | Resident Advisor | Registered Tax Return Preparer | Registered Retirement Savings Plan |
He is a former Vice President and Registered Investment Advisor for Deutsche Bank/Alex Brown.