Richard Fallin
Richard Fallin is a registered investment advisor at Independent Advisor Alliance, LLC, based in Charlotte, NC, with 18 years of industry experience. Richard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Investment Management, and 2 more. Their firm serves 34,127 clients with $14B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
IAA offers asset management services where they manage your investments based on your goals, time horizon, and risk tolerance. The annual advisory fee is a maximum of 2.00% of the market value of your account, including cash holdings. This fee may also include financial planning and consulting services. The advisory fee is negotiable. Fees are billed quarterly in advance.
Location
11215 N. Community House Road, Suite 775, Charlotte, NC, 28277
Get directionsHistory
Regulatory History (1)
Employment Separation After Allegations
August 2015Other Business Activities
Richard is an independent advisor with Independent Advisor Alliance, providing investment advisory services. This activity takes up nearly all of Richard's time.
Employment History
Current Registrations
Independent Advisor Alliance, LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Hewitt Financial Services LLCBroker
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
Banc of America Investment Services, INC.Broker
E*trade Securities LLCBroker
State Registrations52 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.