DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

RILEY WEALTH ADVISORS, LLC

CRD 145734

SOUTHLAKE, TX

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:63a063b6-ac90-fd32-e85d-f5335888eeef

Data as of Mar 15, 2021 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 23, 2012 to Mar 15, 2021
24 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: $126MItem 5.F on the latest filing (2021-03-15); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $126M
Private client RAUM: $126MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1
Advisory employees: 1
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 830
Individual clients: 200
High net worth clients: 40
Custody, client assets: $52.0M
SEC number: 801-68657
CRD: 145734
Filings on the tape: 24
First filed: Mar 23, 2012
Latest filed: Mar 15, 2021
Organised: Limited Liability Company, Texas

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
RILEY, WILLIAM, EUGENE	MEMBER/CHIEF COMPLIANCE OFFICER	E	yes	11/2007	Mar 23, 2012	Mar 15, 2021
Hess, Clarion, Hadleigh	EXECUTIVE VICE PRESIDENT	Na	no	12/2020	Mar 15, 2021	Mar 15, 2021

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
RILEY PRIVATE CLIENT LLC	n/a	n/a	n/a	N	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Graham	TX	United States	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
2020	Mar 15, 2021	$126M	$126M	1	1	1	n/a	n/a
2019	Mar 12, 2020	$166M	$166M	2	2	1	n/a	n/a
2018	Mar 28, 2019	$110M	$110M	2	2	2	n/a	n/a
2017	Mar 30, 2018	$141M	$141M	3	3	2	n/a	n/a
2016	Mar 29, 2017	$115M	$115M	2	1	n/a	n/a	n/a
2015	Mar 23, 2016	$102M	$76.0M	3	1	n/a	n/a	n/a
2014	Mar 16, 2015	$111M	$111M	3	1	n/a	n/a	n/a
2013	Mar 28, 2014	$120M	$120M	3	1	n/a	n/a	n/a
2012	Mar 21, 2013	$103M	$103M	3	2	n/a	n/a	n/a
2011	Mar 23, 2012	$106M	$106M	n/a	n/a	n/a	n/a	n/a

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
2020	$126M	$166M	-24.2%	$141M	-3.8%	1	2	1	1

Relationships

Controls (1)

← RILEY, WILLIAM, EUGENEOwnerMEMBER/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 23, 2012 to presentfactForm ADV

Owns (1)

← Hess, Clarion, HadleighOwnerEXECUTIVE VICE PRESIDENT, ownership code NA, individual
Mar 15, 2021 to presentfactForm ADV

Registered with (2)

← JONATHAN LOEFFLERAdvisorregistration: previous registration
Oct 28, 2017 to Mar 15, 2021factForm ADV
← MARK ANTHONY POMEROYAdvisorregistration: previous registration
Apr 7, 2020 to Mar 9, 2021factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:63a063b6-ac90-fd32-e85d-f5335888eeef
First observed: Mar 23, 2012
Last observed: Mar 15, 2021 67 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.

RILEY WEALTH ADVISORS, LLC

CRD 145734

SOUTHLAKE, TX

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:63a063b6-ac90-fd32-e85d-f5335888eeef

Data as of Mar 15, 2021 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:49 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

RILEY, WILLIAM, EUGENE

MEMBER/CHIEF COMPLIANCE OFFICER

yes

11/2007

Mar 23, 2012

Mar 15, 2021

Hess, Clarion, Hadleigh

EXECUTIVE VICE PRESIDENT

12/2020

Mar 15, 2021

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

RILEY PRIVATE CLIENT LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Graham

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 15, 2021

$126M

n/a

2019

Mar 12, 2020

$166M

n/a

2018

Mar 28, 2019

$110M

n/a

2017

Mar 30, 2018

$141M

n/a

2016

Mar 29, 2017

$115M

n/a

2015

Mar 23, 2016

$102M

$76.0M

n/a

2014

Mar 16, 2015

$111M

n/a

2013

Mar 28, 2014

$120M

n/a

2012

Mar 21, 2013

$103M

n/a

2011

Mar 23, 2012

$106M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$126M

$166M

-24.2%

$141M

-3.8%