Riley Giauque
Riley Giauque is a registered investment advisor at LPL Financial LLC, based in Port Charlotte, FL, with 5 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
Port Charlotte, FL
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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.