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RIA / WealthAdvisor24 years in industry

RICHARD MONTGOMERY PATRICK

Advisor at SOWELL MANAGEMENT

El Cerrito, CA

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Search this name across graphsid dfx:ria:5e869739-48ca-739f-68ea-7603798c15f4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: May 16, 2003 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: SOWELL MANAGEMENT
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 27, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Aug 27, 2002
First registration: May 16, 2003
Dual registered: no
Other names: RICK PATRICK|RICHARD MONTGOMERY PATRICK|RICHARD MONTGOMERY PATRICK
IAPD individual key: 4546296

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
SOWELL MANAGEMENT	Independent wealth	Jan 1, 2025	n/a	yes	El Cerrito, CA	Current employment
Namcoa	Mixed wealth	Jun 16, 2016	Oct 3, 2020	no	Walnut Creek, CA\|MOORESVILLE, NC	Previous registration
WEALTHSOURCE?	Former SEC adviser	Mar 16, 2016	Jul 15, 2016	no	EL CERRITO, CA	Previous registration
AVANT-GARDE ADVISORS LLC	Former SEC adviser	Jun 25, 2012	Jul 15, 2016	no	WALNUT CREEK, CA\|CENTENNIAL, CO	Previous registration
B RILEY WEALTH MANAGEMENT	Former SEC adviser	Apr 26, 2011	Jun 5, 2012	no	EL CERRITO, CA\|Memphis, TN\|WALNUT CREEK, CA	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Dec 7, 2004	May 17, 2011	no	Walnut Creek, CA\|WALNUT CREEK, CA	Previous registration
IFMG SECURITIES, INC.	n/a	Aug 5, 2004	Nov 12, 2004	no	SAUSALITO, CA	Previous registration
WAMU INVESTMENTS, INC.	n/a	Jan 7, 2004	Aug 5, 2004	no	OAKLAND, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	May 16, 2003	Dec 1, 2003	no	SAN FRANCISC, 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
Namcoa	SOWELL MANAGEMENT	Oct 3, 2020	Jan 1, 2025	1,551	Firm change after gap	RIA to RIA
AVANT-GARDE ADVISORS LLC	WEALTHSOURCE?	Jul 15, 2016	Mar 16, 2016	-121	Firm change after gap	Other
WEALTHSOURCE?	Namcoa	Jul 15, 2016	Jun 16, 2016	-29	Firm change	Other
B RILEY WEALTH MANAGEMENT	AVANT-GARDE ADVISORS LLC	Jun 5, 2012	Jun 25, 2012	20	Firm change	Other
CHARLES SCHWAB & CO., INC.	B RILEY WEALTH MANAGEMENT	May 17, 2011	Apr 26, 2011	-21	Firm change	Other
IFMG SECURITIES, INC.	CHARLES SCHWAB & CO., INC.	Nov 12, 2004	Dec 7, 2004	25	Firm change	Other
WAMU INVESTMENTS, INC.	IFMG SECURITIES, INC.	Aug 5, 2004	Aug 5, 2004	0	Firm change	Other
MORGAN STANLEY DW INC.	WAMU INVESTMENTS, INC.	Dec 1, 2003	Jan 7, 2004	37	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
151527:282202:CO:2016-07-15	Jul 15, 2016	Mar 16, 2016	CENTENNIAL, CO	Firm change after gap
282202:133978:CA:2016-07-15	Jul 15, 2016	Jun 16, 2016	EL CERRITO, CA	Firm change

Relationships

Registered with (9)

→ SOWELL MANAGEMENTRegistered adviserregistration: current employment
Jan 1, 2025 to presentfactForm ADV
→ NAMCOARegistered adviserregistration: previous registration
Jun 16, 2016 to Oct 3, 2020factForm ADV
→ AVANT-GARDE ADVISORS LLCRegistered adviserregistration: previous registration
Jun 25, 2012 to Jul 15, 2016factForm ADV
→ WEALTHSOURCE?Registered adviserregistration: previous registration
Mar 16, 2016 to Jul 15, 2016factForm ADV
→ B RILEY WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Apr 26, 2011 to Jun 5, 2012factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Dec 7, 2004 to May 17, 2011factForm ADV
→ IFMG SECURITIES, INC.Registered adviserregistration: previous registration
Aug 5, 2004 to Nov 12, 2004factForm ADV
→ WAMU INVESTMENTS, INC.Registered adviserregistration: previous registration
Jan 7, 2004 to Aug 5, 2004factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
May 16, 2003 to Dec 1, 2003factForm ADV

Dated events

No dated event names this entity yet.