Roger Faulring
Roger Faulring is a registered investment advisor at B. Riley Wealth Advisors, INC., based in Buffalo, NY, with 44 years of industry experience. Roger operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, High Net Worth, Investment Management, and 2 more. Their firm serves 17,372 clients with $7B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
B. Riley Wealth Advisors offers investment management through various programs. The Advisor-as-Portfolio Manager (APM) program allows your advisor to manage your account, potentially using outside managers. You'll pay an annual fee based on the value of your portfolio, which is negotiable up to a maximum. Transaction fees may be included or billed separately.
Third-Party Managed Programs are also available, utilizing the Envestnet platform. These programs also charge an annual fee based on the value of your portfolio, not exceeding 2.75%, which is negotiable. These programs may also be wrap fee programs.
Other third-party managed programs are available through Brinker, SEI, and AssetMark, with minimums starting at $500,000 for Brinker.
Location
726 Exchange Street, Suite 505, Buffalo, NY, 14210
Get directionsHistory
Regulatory History (14)
Customer Dispute
May 2006Customer Dispute
March 2006Customer Dispute
March 2006Customer Dispute
January 2006Customer Dispute
January 2006Customer Dispute
December 2005Regulatory
November 2005Customer Dispute
September 2005Customer Dispute
August 2005Customer Dispute
April 2005Customer Dispute
March 2005Customer Dispute
August 2003Customer Dispute
January 2003Customer Dispute
December 2002Other Business Activities
Roger is a partner at CAM Buffalo, LLC d/b/a Consilience Asset Management, dedicating full-time hours to this role. He is also a poet and author, spending about a quarter of his time on this non-investment related activity.
Employment History
Current Registrations
B. Riley Wealth Advisors, INC.
Previous Registrations
United Advisors Services, LLC
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Advest, INC.Broker
Shearson Lehman Brothers INC.Broker
E. F. Hutton & Company INCBroker
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.