Investment Adviser Registration Decision Chart
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Investment Adviser Registration Decision Chart

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As a CPA offering services to individuals, it is important to know how the Investment Adviser’s Act of 1940 (“Adviser’s Act”) applies to your business. The Adviser’s Act regulates individuals and entities deemed to be investment advisers. The Adviser’s Act contains some exclusions for certain individuals from the definition of investment adviser, one of which applies to accountants. By following the flowchart in Figure 1 which illustrates the accountant’s exclusion, you can use it to determine if you can qualify

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File name: cpa-guide-investment-decision-chart.pdf

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