Rafael Oliveira is a registered investment advisor at LPL Enterprise, LLC, based in Phoenix, AZ, with 9 years of industry experience. Rafael operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 86,726 clients with $19B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPLE provides access to investment management through third-party asset management programs (TAMPs) and LPL's Model Wealth Portfolios (MWP). For TAMPs, the fees are negotiated with the LPLE representative, typically up to 2% of the assets managed, but may be higher in certain circumstances. The TAMP sponsor also charges a fee. For MWP, clients are charged an annual account fee that includes an advisory fee (maximum 2.35% and is negotiable) and a manager fee (0% to 0.60%).
Location
2325 East Camelback Road, Suite 100, Phoenix, AZ, 85016
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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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Rafael is the owner and president of Lua Empire LLC, a drop shipping company that ships a Brazilian liquor drink to distributors. He spends minimal time speaking with Brazilian distributors to ensure shipments are processed.
Employment History
Current Registrations
LPL Enterprise, LLC
LPL Enterprise, LLCBroker
Previous Registrations
Principal Securities, INC.
Principal Securities, INC.Broker
Strategic Wealth Investment Group, LLC
Principal Securities, INC.Broker
Principal Securities, INC.
Fisher Investments
Charles Schwab & CO., INC.Broker
Charles Schwab & CO., INC.
Fisher Investments
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
TD Ameritrade Investment Management, LLC
TD Ameritrade, INC.
TD Ameritrade, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations4 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.