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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM none

DICK RIVERA & ASSOCIATES

DICK RIVERA & ASSOCIATES, LLC, CRD 114409

PENSACOLA BEACH, FL

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:192fa9b0-b9f0-4cc1-820f-45859c74491e

Data as of Jan 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 7
On other graphs: 0
Observed: Mar 27, 2018 to Jan 26, 2026
21 observations

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $0Item 5.F on the latest filing (2026-01-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 0
SEC number: 801-112979
CRD: 114409
Filings on the tape: 21
First filed: Mar 27, 2018
Latest filed: Jan 26, 2026
Organised: Limited Liability Company, TX

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
RIVERA, RICHARD, THOMAS	MEMBER AND CCO	E	yes	10/1986	Mar 27, 2018	Dec 11, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Jan 26, 2026	$0	$0	2	2	1	n/a	n/a
2024	Mar 5, 2025	$155M	$155M	2	2	1	n/a	n/a
2023	Feb 22, 2024	$144M	$144M	2	2	1	n/a	n/a
2022	Feb 10, 2023	$131M	$131M	2	2	2	n/a	n/a
2021	Feb 25, 2022	$144M	$144M	2	2	2	n/a	n/a
2020	Mar 19, 2021	$128M	$128M	2	2	2	n/a	n/a
2019	Feb 14, 2020	$124M	$124M	2	2	0	n/a	n/a
2018	Mar 12, 2019	$114M	$114M	2	2	0	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	2	-2	n/a	0	0	0	0	2

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$0	$155M	-100.0%	$131M	n/a	2	2	1	1

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
UNITED CAPITAL FINANCIAL ADVISORS	2	Mar 30, 2026	Dec 4, 2025	PENSACOLA BEACH, FL	Team lift out	Other	100.0%

Relationships

Registered with (2)

← RICHARD THOMAS RIVERAAdvisorregistration: previous registration
Mar 22, 2016 to Mar 30, 2026factForm ADV
← JULIA KAY WHITLEYAdvisorregistration: previous registration
Mar 23, 2016 to Mar 30, 2026factForm ADV

Moved with (1)

→ UNITED CAPITAL FINANCIAL ADVISORSRegistered adviser2 advisors, team lift out, same day
Mar 30, 2026 to Dec 4, 2025factForm ADV

Controls (1)

← RIVERA, RICHARD, THOMASOwnerMEMBER AND CCO, ownership code E, individual
Mar 27, 2018 to Dec 11, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 30, 2026
Team lift-out
2 advisors left Dick Rivera & Associates (Pensacola Beach, FL) for United Capital Financial Advisors on the same day
Form ADVobserved 6 days ago
2 advisors
Occurred
Mar 30, 2026
Advisor changed firm
Julia Kay Whitley left Dick Rivera & Associates for United Capital Financial Advisors (registered 2025-12-03)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2026
Advisor changed firm
Richard Thomas Rivera left Dick Rivera & Associates for United Capital Financial Advisors (registered 2025-12-04)
Form ADVobserved 6 days ago
Occurred
Jan 26, 2026
Regulatory AUM changed
Dick Rivera & Associates reported RAUM $0, down 100% from $155.0M (2025-03-05 to 2026-01-26)
Form ADVobserved 6 days ago
$-155M
Occurred
Mar 19, 2021
Succession filed (Item 4)
Dick Rivera & Associates reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 6 days ago
Occurred
Mar 27, 2018
First Form ADV filing
Dick Rivera & Associates filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Show 1 bookkeeping events

Occurred
Apr 1, 2026
Dick Rivera & Associates no longer on the SEC adviser roster (last listed 2026-03-02)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:192fa9b0-b9f0-4cc1-820f-45859c74491e
First observed: Mar 27, 2018
Last observed: Jan 26, 2026 7 months ago
Source families: Federal regulator filings
3 registered feeds 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.

DICK RIVERA & ASSOCIATES

DICK RIVERA & ASSOCIATES, LLC, CRD 114409

PENSACOLA BEACH, FL

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:192fa9b0-b9f0-4cc1-820f-45859c74491e

Data as of Jan 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:15 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

RIVERA, RICHARD, THOMAS

MEMBER AND CCO

yes

10/1986

Mar 27, 2018

Dec 11, 2024

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Jan 26, 2026

n/a

2024

Mar 5, 2025

$155M

n/a

2023

Feb 22, 2024

$144M

n/a

2022

Feb 10, 2023

$131M

n/a

2021

Feb 25, 2022

$144M

n/a

2020

Mar 19, 2021

$128M

n/a

2019

Feb 14, 2020

$124M

n/a

2018

Mar 12, 2019

$114M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-2

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$155M

-100.0%

$131M

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

UNITED CAPITAL FINANCIAL ADVISORS

Mar 30, 2026

Dec 4, 2025

PENSACOLA BEACH, FL

Team lift out

Other

100.0%