Raja Asava is a registered investment advisor at LPL Financial LLC, based in Traverse City, MI, with 24 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
830 E.Front St.#304, Traverse City, MI, 49686
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Regulatory History
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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Raja operates Upstream Investment Partners as a DBA for their LPL business and is involved with ASAVA INC for tax/investment purposes. Raja also engages in tax preparation/accounting through H & R Block, dedicating minimal time, and owns rental real estate in Grand Traverse County, spending minimal time on it.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Spc
Sigma Financial CorporationBroker
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
Ameriprise Advisor Services, INC.
Ameriprise Advisor Services, INC.Broker
H&r Block Financial Advisors, INC.Broker
State Registrations1 state
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.