What Kind of Professionals Handle Finance Portfolios?


Quick Answer

Investment advisers are regulated professionals who manage financial portfolios, according to the Financial Industry Regulatory Authority. Investment advisers are also sometimes known as asset managers, investment managers, investment counselors and portfolio managers.

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Full Answer

Investment advisers or portfolio managers are regulated by the Securities and Exchange Commission or by state securities regulators, depending on the financial value of the portfolios managed. Investment advisers should not be confused with broker-dealers, who buy and sell securities, or with financial planners, who may have little to no financial training or credentials, as the Financial Industry Regulatory Authority explains. Some portfolio managers only manage investment portfolios, while others also offer financial planning and brokerage services.

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