RILEY PRIVATE CLIENT LLC
Adviser information for RILEY PRIVATE CLIENT LLC last updated from Form ADV on March 13th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 306 | $61.9M |
| Non-Discretionary | 57 | $3.0M |
| Total | 363 | $64.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 165 | $27.5M |
| HNW Individuals | 16 | $35.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 2 | $1.3M |
| Charitable organizations | 2 | $113,594 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 2 | $165,834 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed feesREFERRAL FEES |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 81.0M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| RILEY PRIVATE CLIENT WRAP PROGRAM | RILEY PRIVATE CLIENT |
Identifiers
| SEC RIA File Number | 801-121467 |
|---|---|
| SEC ERA File Number | 801-121467 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 310313 |
| Legal Entity Identifier | None |
Principal Office
700 N CARROLL AVESUITE 110
SOUTHLAKE
TX
United States
Monday - Friday, 8:30-5
Tel: 817-870-4680, Fax: (817) 870-1995
Chief Compliance Officer
FRANCINE BARRETT
700 N CARROLL AVE
STE 110
SOUTHLAKE
TX
United States
Tel:
(817) 870-4680
Fax:
(817) 870-1995
F***************@*********************M
(Full email address available in API data)
Regulatory Contact
DOUGLAS JONES
INVESTMENT ADVISOR REPRESENTATIVE
700 N CARROLL AVE
STE 110
SOUTHLAKE
TX
United States
Tel:
(817) 870-4680
Fax:
(817) 870-1995
D************@*********************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| Barrett, Francine | Individual | – | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | 05/2022 | 10-25% |
| Cohen, Michael | Individual | – | MEMBER | 05/2022 | 10-25% |
| Riley, Marsha | Individual | – | MEMBER | 12/2022 | 50-75% |