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RIA / WealthAdvisorCertified Financial Planner25 years in industry

RICHARD ANTHONY FUNK

Advisor at BRAZOS CAPITAL

AUSTIN, TX

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 24, 2005 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: BRAZOS CAPITAL
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 28, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Aug 28, 2001
First registration: Jan 24, 2005
Dual registered: no
IAPD individual key: 4423609

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
BRAZOS CAPITAL	Independent wealth	Sep 15, 2017	n/a	yes	AUSTIN, TX	Current employment
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Feb 17, 2011	Sep 29, 2017	no	AUSTIN, TX	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Feb 28, 2011	no	Austin, TX	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jan 24, 2005	Jun 1, 2009	no	AUSTIN, TX\|AUSTIN, TX	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
RAYMOND JAMES & ASSOCIATES, INC.	BRAZOS CAPITAL	Sep 29, 2017	Sep 15, 2017	-14	Firm change	Ibd to new firm
MORGAN STANLEY	RAYMOND JAMES & ASSOCIATES, INC.	Feb 28, 2011	Feb 17, 2011	-11	Firm change	Wirehouse to ibd
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (4)

→ BRAZOS CAPITALRegistered adviserregistration: current employment
Sep 15, 2017 to presentfactForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
Feb 17, 2011 to Sep 29, 2017factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Feb 28, 2011factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jan 24, 2005 to Jun 1, 2009factForm ADV

Dated events

No dated event names this entity yet.