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Richard Ryall

Merrill Lynch, Pierce, Fenner & Smith Incorporated
53 Years of Experience
Suffield, CT
4 DisclosuresBroker
View SEC Summary
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Richard Ryall is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Suffield, CT, with 53 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 High Net Worth, Investment Management, Retirement Planning. Their firm serves 1,838,984 clients with $1800B in assets under management.

Merrill Lynch, Pierce, Fenner & Smith Incorporated
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
25502 advisors
Number of Clients
1,838,984 clients
Average Client Portfolio
$969K average
Assets Under Management
$1781.6B

Fee Structure

Investment management only (planning not offered)

Managed Account Advisors and Merrill Lynch charge an asset-based fee called the Account Fee, which consists of two parts:

  • Investment Management and Trust Fee — Paid to Bank of America for its services, with rates set in your client agreement and subject to negotiation based on your portfolio value and account size.
  • Style Manager Expense — Paid to the specific manager of your chosen strategy, generally ranging from 0.00% to 0.50% per year, and does not change based on portfolio size.

Total fees vary depending on the specific strategies and account size, and are deducted directly from your account on a regular basis.

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Location

Suffield, CT

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History

Regulatory History (4)
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.
Customer Dispute
March 2023
Settled
Customer Dispute
April 2012
Denied
Customer Dispute
September 2009
Settled
Customer Dispute
February 1986
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Richard is a committee member for the Springfield Library and Museums, a non-profit organization. He dedicates minimal time annually to this role, serving on the investment committee.

Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
September 2006 - Present · 20 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 2006 - Present · 20 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
March 2006 - Present · 20 yrs 7 mos
Previous Registrations
Advest, INC.Broker
February 1984 - March 2006 · 22 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
December 1972 - September 1978 · 5 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
December 1972 - February 1984 · 11 yrs 2 mos
State Registrations33 states
AZCACOCTDCFLGAILKSKYLAMAMDMEMIMNMONCNHNJNMNYOHPARISCSDTXUTVAVTWAWI
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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