Alan Riffle
Alan Riffle is a registered investment advisor at Oppenheimer & CO. INC., based in Houston, TX, with 37 years of industry experience. Alan is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 39,036 clients with $37B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
Maximum asset-based fees are up to 2.5% for the FAM program and up to 2.25% for the Preference program. Fees vary by program and are negotiable.
Fee Estimator
Location
711 Louisiana Street, 15th Floor, Houston, TX, 77002
Get directionsHistory
Regulatory History (2)
Employment Separation After Allegations
October 1993Customer Dispute
April 1993Other Business ActivitiesSells Insurance
Alan is co-trustee for several trusts, including a life insurance trust, requiring minimal time commitment overall. He is also a board member at Gold Country Club, dedicating minimal time and no time during security trading hours.
Employment History
Current Registrations
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.Broker
Previous Registrations
Stanford Group Company
Stanford Group CompanyBroker
Morgan Stanley
Morgan Stanley Dw INC.Broker
Oppenheimer & CO., INC.Broker
Cibc World MarketsBroker
Commonwealth AssociatesBroker
Lehman Brothers INC.Broker
State Registrations17 states
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
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