River Li is a CFP-designated registered investment advisor at Morgan Stanley, based in Cupertino, CA, with 11 years of industry experience. River is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, High Net Worth, Investment Management, Retirement Planning. Their firm serves 2,703,720 clients with $2000B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Morgan Stanley Smith Barney LLC charges a fee for its consulting services, which is generally payable quarterly in advance. The maximum fee for the services is $500,000, and fees are negotiable between the client and their private wealth advisor.
Location
20400 Stevens Creek Boulevard, Suite 350, Cupertino, CA, 95014
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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.
Learn about disclosures →Other Business Activities
River owns rental property in San Jose, CA since October 2023. River spends minimal time on this investment-related activity.
Employment History
Current Registrations
Morgan Stanley
Morgan StanleyBroker
Previous Registrations
Wells Fargo Advisors
Wells Fargo Clearing Services, LLCBroker
Charles Schwab & CO., INC.
Charles Schwab & CO., INC.Broker
Wells Fargo Clearing Services, LLCBroker
State Registrations23 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.
Exams
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