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CFP
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CFP

Richard Fain

Raymond James Financial Services Advisors, INC
40 Years of Experience
San Francisco, CA
Broker
View SEC Summary
View SEC Summary

Richard Fain is a CFP-designated registered investment advisor at Raymond James Financial Services Advisors, INC, based in San Francisco, CA, with 40 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 508,439 clients with $390B in assets under management.

Raymond James Financial Services Advisors, INC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6724 advisors
Number of Clients
508,439 clients
Average Client Portfolio
$767K average
Assets Under Management
$390.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum annual fee percentage is 2.25% of assets under advisement. Specific fees are negotiable with your financial advisor based on time, complexity, and portfolio size.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

360A West Portal Avenue, San Francisco, CA, 94127

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Richard owns rental real estate, participates in marketing surveys, and is on the finance committee for St. Ignatius Church. He also works as an independent contractor and financial advisor for West Portal Financial Group, LLC, dedicating a few hours per week to this role.

Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
March 2014 - Present · 12 yrs 7 mos
Raymond James Financial Services, INC.Broker
March 2014 - Present · 12 yrs 7 mos
Previous Registrations
Morgan StanleyBroker
April 2012 - March 2014 · 1 yr 11 mos
Morgan Stanley
April 2012 - March 2014 · 1 yr 11 mos
Charles Schwab & CO., INC.
April 2007 - April 2012 · 5 yrs
Charles Schwab & CO., INC.Broker
April 2007 - April 2012 · 5 yrs
Raymond James Financial Services, INC.Broker
September 2002 - December 2006 · 4 yrs 3 mos
Charles Schwab & CO., INC.Broker
December 2000 - September 2002 · 1 yr 9 mos
Charles Schwab & CO., INC.Broker
July 1985 - July 2000 · 15 yrs
State Registrations15 states
CACOFLGAHIILMNNMNVNYPATXUTVirgin IslandsWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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