Alan Riffle
Alan Riffle is a registered investment advisor at Oppenheimer & CO. INC., based in Houston, TX, with 36 years of industry experience. Their practice areas include Financial Planning & Coaching, High Net Worth, Retirement Planning. Their firm serves 37,605 clients with $32B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Oppenheimer offers several investment management programs with different fee structures:
- Fahnestock Asset Management (FAM): Fees up to 2.5% of your portfolio. Commissions are also charged on certain FAM accounts.
- Alpha: Clients pay brokerage commissions and ticket/handling charges on securities transactions.
- Preference: Fees up to 2.25% of your portfolio. Additional charges may apply based on trading activity.
Minimum account sizes vary depending on the program and the types of investments included in the account. The minimum annual fee for FAM and Preference accounts is $250, but this is waived if the account is at least $50,000 or household advisory accounts are at least $250,000.
Location
711 Louisiana Street, 15th Floor, Houston, TX, 77002
Get directionsHistory
Regulatory History (2)
Employment Separation After Allegations
October 1993Customer Dispute
April 1993Other Business ActivitiesSells Insurance
Alan is co-trustee for several trusts, including a life insurance trust, requiring minimal time commitment overall. He is also a board member at Gold Country Club, dedicating minimal time and no time during security trading hours.
Employment History
Current Registrations
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.Broker
Previous Registrations
Stanford Group Company
Stanford Group CompanyBroker
Morgan Stanley
Morgan Stanley Dw INC.Broker
Oppenheimer & CO., INC.Broker
Cibc World MarketsBroker
Commonwealth AssociatesBroker
Lehman Brothers INC.Broker
State Registrations17 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.