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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)22 years in industry

RICHARD JAMES HAEUFLE

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Montgomery, OH | Cincinnati, OH

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Search this name across graphsid dfx:ria:258ad747-a970-0494-44df-04076540cb32

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Nov 20, 2009 to Sep 15, 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: AMERIPRISE FINANCIAL SERVICES, LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 29, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Jun 29, 2004
First registration: Nov 20, 2009
Dual registered: yes, broker-dealer
Other names: RICHARD JAMES HAEUFLE|Richard J Haeufle
IAPD individual key: 4772400

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
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 17, 2024	n/a	yes	Cincinnati, OH\|Montgomery, OH	Current employment
HORTER INVESTMENT MANAGEMENT, LLC	Independent wealth	Aug 2, 2023	Sep 16, 2024	no	CINCINNATI, OH	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jul 13, 2018	Jul 17, 2023	no	BOSTON, MA	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Nov 20, 2009	Jul 13, 2018	no	COVINGTON, KY	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
HORTER INVESTMENT MANAGEMENT, LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Sep 16, 2024	Oct 17, 2024	31	Firm change	RIA to ibd
FIDELITY PERSONAL AND WORKPLACE ADVISORS	HORTER INVESTMENT MANAGEMENT, LLC	Jul 17, 2023	Aug 2, 2023	16	Firm change	Ibd to RIA
STRATEGIC ADVISERS LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Jul 13, 2018	Jul 13, 2018	0	Bulk transfer	Ibd to new firm

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Oct 17, 2024 to presentfactForm ADV
→ HORTER INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 2, 2023 to Sep 16, 2024factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jul 13, 2018 to Jul 17, 2023factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Nov 20, 2009 to Jul 13, 2018factForm ADV

Dated events

Occurred
Sep 16, 2024
Advisor changed firm
Richard James Haeufle left Horter Investment Management, Llc for Ameriprise Financial Services, Llc (registered 2024-10-17)
Form ADVobserved 6 days ago
Occurred
Jul 17, 2023
Advisor changed firm
Richard James Haeufle left Fidelity Personal And Workplace Advisors for Horter Investment Management, Llc (registered 2023-08-02)
Form ADVobserved 6 days ago