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Allison Barbara Clago

B. Riley Wealth Advisors, INC.
39 Years of Experience
3 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary
Areas of Practice
Investment ManagementRetirement PlanningHigh Net Worth
B. Riley Wealth Advisors, INC.
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
176 advisors
Number of Clients
17,372 clients
Average Client Portfolio
$405K average
Assets Under Management
$7.0B

Fee Structure

Minimum Investment:$25K
Financial Planning:Investment management only
AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $250K2.75%
$250K - $1.0M2.50%
$1M+2.00%

Fees and breakpoints are negotiable.

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

Location

Tarzana, CA

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
December 2015
Customer Dispute
January 2000
Closed-No Action
Criminal
December 1981
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Allison is a board member at Providence Cedars Sinai Tarzana Medical Center and president of the Clago Family Foundation, dedicating minimal time and a few hours per week, respectively. She is also an insurance agent selling fixed insurance through B. Riley Wealth Insurance, spending a few hours per week on this activity.

Employment History
Current Registrations
B. Riley Wealth Management
July 2022 - Present · 3 yrs 7 mos
B. Riley Wealth ManagementBroker
July 2022 - Present · 3 yrs 7 mos
B. Riley Wealth Advisors, INC.
July 2019 - Present · 6 yrs 7 mos
Previous Registrations
National Securities CorporationBroker
July 2019 - July 2022 · 3 yrs
Wedbush Securities INC.
January 2016 - June 2019 · 3 yrs 5 mos
Wedbush Securities INC.Broker
January 2016 - June 2019 · 3 yrs 5 mos
Stockcross Financial Services
December 2008 - December 2015 · 7 yrs
Stockcross Financial Services, INC.Broker
January 2007 - December 2015 · 8 yrs 11 mos
TD Ameritrade, INC.
September 2003 - December 2006 · 3 yrs 3 mos
TD Securities (USA) INC.Broker
January 1998 - June 2001 · 3 yrs 5 mos
TD Ameritrade, INC.Broker
November 1997 - December 2006 · 9 yrs 1 mo
Kennedy, Cabot & CO.Broker
July 1987 - November 1997 · 10 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1985 - July 1987 · 1 yr 10 mos
State Registrations29 states
AZCACOCTDCFLHIINKSLAMAMDMNMTNCNENHNMNVNYOHOKORPATNTXUTVAWA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.