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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)28 years in industry

NEAL THOMAS LEISCH

Advisor at B. RILEY WEALTH ADVISORS, INC.

SAN DIEGO, CA

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Search this name across graphsid dfx:ria:1e640459-8bab-80cc-3e9e-241c7e335f7c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 4, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: B. RILEY WEALTH ADVISORS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 1, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66|S63
First exam: May 1, 1998
First registration: Oct 4, 2002
Dual registered: yes, broker-dealer
Other names: NEAL T LEISCH
IAPD individual key: 3024416

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
B. RILEY WEALTH ADVISORS, INC.	Bd affiliated wealth	Aug 21, 2017	n/a	yes	SAN DIEGO, CA	Current employment
WFG ADVISORS, LP	Former SEC adviser	Nov 2, 2009	Aug 14, 2017	no	SAN DIEGO, CA\|SAN DIEGO, CA	Previous registration
AMERICAN GENERAL FINANCIAL ADVISORS, INC.	n/a	Feb 27, 2003	May 2, 2009	no	SAN DIEGO, CA	Previous registration
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Oct 4, 2002	Nov 16, 2009	no	SAN DIEGO, CA\|ANAHEIM, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WFG ADVISORS, LP	B. RILEY WEALTH ADVISORS, INC.	Aug 14, 2017	Aug 21, 2017	7	Firm change	Other
VALIC FINANCIAL ADVISORS, INC.	AMERICAN GENERAL FINANCIAL ADVISORS, INC.	Nov 16, 2009	Feb 27, 2003	-2,454	Firm change after gap	Other
AMERICAN GENERAL FINANCIAL ADVISORS, INC.	WFG ADVISORS, LP	May 2, 2009	Nov 2, 2009	184	Firm change	Other

Relationships

Registered with (4)

→ B. RILEY WEALTH ADVISORS, INC.Registered adviserregistration: current employment
Aug 21, 2017 to presentfactForm ADV
→ WFG ADVISORS, LPRegistered adviserregistration: previous registration
Nov 2, 2009 to Aug 14, 2017factForm ADV
→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Oct 4, 2002 to Nov 16, 2009factForm ADV
→ AMERICAN GENERAL FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Feb 27, 2003 to May 2, 2009factForm ADV

Dated events

No dated event names this entity yet.