Riley Giauque
Riley Giauque is a CFP-designated registered investment advisor at LPL Financial LLC, based in Port Charlotte, FL, with 6 years of industry experience. Riley is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.
Fee Estimator
Location
Port Charlotte, FL
Get directionsHistory
Regulatory History (1)
Customer Dispute
August 2024Other Business Activities
Riley owns Riley Giauque, LLC, a business entity for tax/investment purposes only, dedicating minimal time. Riley also operates Blue Ox Advisors as a DBA for their LPL business, dedicating full-time hours to this investment-related activity.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Flaharty Asset Management, LLC
LPL Financial LLC
State Registrations3 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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