Riordan, Lewis & Haden

CRD#157138
Investment Advisor Firm

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Overview

Riordan, Lewis & Haden is a financial advisor firm headquartered in Los Angeles, California. The company handles $1.3 billion in total assets throughout nine accounts, making it one of the larger firms in the nation by assets under management (AUM). It has a small team of 11 employees, all of whom are financial advisors. Riordan, Lewis & Haden is not a registered broker-dealer, meaning the firm cannot buy and sell securities for its customers' and own accounts and instead is required to go through a broker-dealer firm to do so. Securities are defined as tradable financial assets like options, bonds and equities.

Riordan, Lewis & Haden manages all of the company's client assets on a discretionary basis. Discretionary management is a structure in which buy and sell judgments for the client's account are made by a portfolio manager without needing the customer's consent. The firm's average account size is $139.4 million. The typical advisor at Riordan, Lewis & Haden administers fewer than one client account, making it one of the most personalized firms in the country.

The company's main office is located at 10900 Wilshire Blvd, Los Angeles, California 90024. The firm is legally allowed to serve clients in the state of California.

Assets Under Management

$1.3 billion

Number of Advisors

11

Disclosures

No

Office Location

10900 Wilshire Blvd
Los Angeles, CA 90024

Riordan, Lewis & Haden by the Numbers

Total Assets Under Management

$1.3 billion

National Average: $3.7 billion
Total Number of Employees

11

National Average: 29
Total Number of Accounts

9

National Average: 2,073
Average Account Size

$139.4 million

National Average: $1.8 million

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Fee Structure

Fees charged by financial advisors depend on which services are offered. Fee types billed by the company may include the following fee structures: asset-based or performance-based. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by Riordan, Lewis & Haden.

Available

  • Offered by 74% of firms

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 17% of firms

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

Unavailable

  • Find one of the 35% of firms that offer this fee type

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Find one of the 2% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 1% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 40% of firms that offer this fee type

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

  • Find one of the 12% of firms that offer this fee type

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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Types of Clients

The firm works with pooled investment vehicles. Out of its nine accounts, Riordan, Lewis & Haden's biggest client type is pooled investment vehicles. None of the firm's accounts reside abroad.

  • High-Net-Worth Individuals* - 0%
  • Other Individuals - 0%
  • Corporations - 100%
  • Charitable Organizations - 0%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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Disclosures

Riordan, Lewis & Haden does not have any disclosures.

Please visit its Form ADV for more details.

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This content was compiled from the SEC and FINRA