TrueAdvisor
TrueAdvisor
BS
BS

Brian James Smith

B. Riley Wealth Advisors, INC.
20 Years of Experience
Broker
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

136 Mill Road, Suite A, Quakertown, PA, 18951

Get directions

History

Regulatory History
Clean regulatory record

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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Employment History
Current Registrations
B. Riley Wealth ManagementBroker
November 2023 - Present · 2 yrs 3 mos
B. Riley Wealth Advisors, INC.
November 2023 - Present · 2 yrs 3 mos
Previous Registrations
LPL Financial LLCBroker
July 2018 - December 2023 · 5 yrs 5 mos
LPL Financial LLC
July 2018 - December 2023 · 5 yrs 5 mos
Investment Professionals, INC.Broker
December 2012 - August 2018 · 5 yrs 8 mos
Investment Professionals, INC.
December 2012 - August 2018 · 5 yrs 8 mos
LPL Financial LLC
February 2012 - December 2012 · 10 mos
LPL Financial LLCBroker
February 2012 - December 2012 · 10 mos
Signator Investors, INC.
July 2010 - February 2012 · 1 yr 7 mos
Signator Investors, INC.Broker
January 2005 - February 2012 · 7 yrs 1 mo
State Registrations17 states
AZCACODEFLGAMAMDNCNENJNVNYPASCTXWA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.