State Registered Investment Adviser:

Question Title

* 1. Are you a State Registered Investment Adviser (RIA)?
Select "YES" if your firm has less than $110 million in assets under management and if you are registered in Indiana. Section 202(a)(11) of the Investment Advisers Act of 1940 https://www.sec.gov/about/laws/iaa40.pdf states an ‘‘Investment adviser’’ means any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities.

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