DFX Intelligence

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RIA / WealthAdvisor10 years in industry

RICHARD JOSEPH SWIFT

Advisor at PRIVATE ADVISOR GROUP, LLC

Morristown, NJ | MORRISTOWN, NJ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0bbb4325-0d87-53cd-b5f9-73d546fb44f0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 1
Observed: Oct 30, 2024 to Sep 14, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Richard Joseph Swift

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Facts

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

Current firm: PRIVATE ADVISOR GROUP, LLC
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: Jun 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1
Current registrations: 1
Registered states: 2
Exams: S65
First exam: Oct 24, 2024
First registration: Oct 30, 2024
Dual registered: no
Other names: RICH SWIFT|RICHARD J SWIFT
IAPD individual key: 2850626

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
PRIVATE ADVISOR GROUP, LLC	Bd affiliated wealth	Jul 30, 2026	n/a	yes	Morristown, NJ\|MORRISTOWN, NJ	Current employment
TRANSCEND CAPITAL ADVISORS, LLC	Independent wealth	Oct 30, 2024	Aug 18, 2026	no	MADISON, NJ	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
TRANSCEND CAPITAL ADVISORS, LLC	PRIVATE ADVISOR GROUP, LLC	Aug 18, 2026	Jul 30, 2026	-19	Firm change	RIA to ibd

Relationships

Registered with (2)

→ PRIVATE ADVISOR GROUP, LLCRegistered adviserregistration: current employment
Jul 30, 2026 to presentfactForm ADV
→ TRANSCEND CAPITAL ADVISORS, LLCRegistered adviserregistration: previous registration
Oct 30, 2024 to Aug 18, 2026factForm ADV

Dated events

Occurred
Aug 18, 2026
Advisor changed firm
Richard Joseph Swift left Transcend Capital Advisors, Llc for Private Advisor Group, Llc (registered 2026-07-30)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0bbb4325-0d87-53cd-b5f9-73d546fb44f0
First observed: Oct 30, 2024
Last observed: Sep 14, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

RICHARD JOSEPH SWIFT

Advisor at PRIVATE ADVISOR GROUP, LLC

Morristown, NJ | MORRISTOWN, NJ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0bbb4325-0d87-53cd-b5f9-73d546fb44f0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:04 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

PRIVATE ADVISOR GROUP, LLC

Bd affiliated wealth

Jul 30, 2026

n/a

yes

Morristown, NJ|MORRISTOWN, NJ

Current employment

TRANSCEND CAPITAL ADVISORS, LLC

Independent wealth

Oct 30, 2024

Aug 18, 2026

MADISON, NJ

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

TRANSCEND CAPITAL ADVISORS, LLC

PRIVATE ADVISOR GROUP, LLC

Aug 18, 2026

Jul 30, 2026

-19

Firm change

RIA to ibd