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RIA / WealthAdvisor34 years in industry

RICHARD L ATHA

Advisor at WATERROCK WEALTH MANAGEMENT

Lincoln, CA | ALBUQUERQUE, NM

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Search this name across graphsid dfx:ria:72644f39-a8ae-c500-3204-0248fd339b85

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Apr 29, 2005 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: WATERROCK WEALTH 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: Jun 26, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Jun 26, 1992
First registration: Apr 29, 2005
Dual registered: no
Other names: DICK ATHA|RICHARD ATHA|RICHARD LEE ATHA
IAPD individual key: 2240499

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
WATERROCK WEALTH MANAGEMENT	Independent wealth	May 11, 2023	n/a	yes	Lincoln, CA\|ALBUQUERQUE, NM	Current employment
CENTER STREET ADVISORS, INC.	Former SEC adviser	Nov 15, 2017	Jan 23, 2023	no	Albuquerque, NM\|NASHVILLE, TN	Previous registration
ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC	Former SEC adviser	Jul 25, 2017	Sep 20, 2017	no	Albuquerque, NM\|PETALUMA, CA	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Aug 10, 2007	Aug 4, 2008	no	SACRAMENTO, CA	Previous registration
TRANSAMERICA FINANCIAL ADVISORS, INC.	n/a	Apr 29, 2005	Jul 19, 2007	no	PFLUGERVILLE, TX\|ELK GROVE, CA\|ELK GROVE, 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
CENTER STREET ADVISORS, INC.	WATERROCK WEALTH MANAGEMENT	Jan 23, 2023	May 11, 2023	108	Firm change	RIA to RIA
ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC	CENTER STREET ADVISORS, INC.	Sep 20, 2017	Nov 15, 2017	56	Firm change	Other
MSI FINANCIAL SERVICES, INC.	ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC	Aug 4, 2008	Jul 25, 2017	3,277	Firm change after gap	Other
TRANSAMERICA FINANCIAL ADVISORS, INC.	MSI FINANCIAL SERVICES, INC.	Jul 19, 2007	Aug 10, 2007	22	Firm change	Other

Relationships

Registered with (5)

→ WATERROCK WEALTH MANAGEMENTRegistered adviserregistration: current employment
May 11, 2023 to presentfactForm ADV
→ CENTER STREET ADVISORS, INC.Registered adviserregistration: previous registration
Nov 15, 2017 to Jan 23, 2023factForm ADV
→ ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jul 25, 2017 to Sep 20, 2017factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Aug 10, 2007 to Aug 4, 2008factForm ADV
→ TRANSAMERICA FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Apr 29, 2005 to Jul 19, 2007factForm ADV

Dated events

Occurred
Jan 23, 2023
Advisor changed firm
Richard L Atha left Center Street Advisors, Inc. for Waterrock Wealth Management (registered 2023-05-11)
Form ADVobserved 6 days ago