Walter Rich is a registered investment advisor at B. Riley Wealth Advisors, INC., based in Fairfield, CT, with 23 years of industry experience. Walter operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, High Net Worth, Investment Management, and 2 more. Their firm serves 17,372 clients with $7B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
B. Riley Wealth Advisors offers investment management through various programs. The Advisor-as-Portfolio Manager (APM) program allows your advisor to manage your account, potentially using outside managers. You'll pay an annual fee based on the value of your portfolio, which is negotiable up to a maximum. Transaction fees may be included or billed separately.
Third-Party Managed Programs are also available, utilizing the Envestnet platform. These programs also charge an annual fee based on the value of your portfolio, not exceeding 2.75%, which is negotiable. These programs may also be wrap fee programs.
Other third-party managed programs are available through Brinker, SEI, and AssetMark, with minimums starting at $500,000 for Brinker.
Location
79B Sanford St., Fairfield, CT, 06824
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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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Walter is a managing partner at Landing Point Advisors, doing business as (DBA) for his advisory business. He also serves as managing director at Lantern Private Wealth, LLC, a bill-paying entity for bookkeeping purposes, dedicating minimal time to this role.
Employment History
Current Registrations
B. Riley Wealth Advisors, INC.
Previous Registrations
B. Riley Wealth ManagementBroker
National Securities CorporationBroker
Stratos Wealth Advisors LLC
Alps Portfolio Solutions Distributor, INC.Broker
Alps Distributors, INC.Broker
State Street Global Markets, LLCBroker
AXA Advisors, LLC
AXA Advisors, LLCBroker
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.