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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

RICHARD STEVEN SOWELL

Advisor at VANGUARD ADVISERS, INC.

PLANO, TX

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Search this name across graphsid dfx:ria:795575cb-757f-957e-b91e-ad83fc764330

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jul 22, 1999 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: VANGUARD ADVISERS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 27, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Apr 27, 1987
First registration: Jul 22, 1999
Dual registered: yes, broker-dealer
Other names: Steve Sowell|STEVEN SOWELL|RICHARD STEVEN SOWELL|RICHARD S SOWELL
IAPD individual key: 1642398

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
VANGUARD ADVISERS, INC.	Bd affiliated wealth	Sep 10, 2025	n/a	yes	PLANO, TX	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jan 21, 2014	Nov 19, 2024	no	IRVING, TX\|PLANO, TX\|DALLAS, TX	Previous registration
CETERA INVESTMENT SERVICES LLC	Former SEC adviser	May 9, 2013	Jan 21, 2014	no	ST CLOUD, MN\|IRVING, TX\|DALLAS, TX\|PLANO, TX\|DALLAS, TX	Previous registration
AMEGY INVESTMENTS, INC.	Former SEC adviser	Nov 3, 2004	Feb 21, 2013	no	DALLAS, TX\|DALLAS, TX\|HOUSTON, TX\|HOUSTON, TX\|DALLAS, TX	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 22, 1999	Oct 29, 2004	no	DALLAS, TX	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
CETERA INVESTMENT ADVISERS LLC	VANGUARD ADVISERS, INC.	Nov 19, 2024	Sep 10, 2025	295	Firm change	Ibd to ibd
CETERA INVESTMENT SERVICES LLC	CETERA INVESTMENT ADVISERS LLC	Jan 21, 2014	Jan 21, 2014	0	Bulk transfer	Other
AMEGY INVESTMENTS, INC.	CETERA INVESTMENT SERVICES LLC	Feb 21, 2013	May 9, 2013	77	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	AMEGY INVESTMENTS, INC.	Oct 29, 2004	Nov 3, 2004	5	Firm change	Other

Relationships

Registered with (5)

→ VANGUARD ADVISERS, INC.Registered adviserregistration: current employment
Sep 10, 2025 to presentfactForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Jan 21, 2014 to Nov 19, 2024factForm ADV
→ CETERA INVESTMENT SERVICES LLCRegistered adviserregistration: previous registration
May 9, 2013 to Jan 21, 2014factForm ADV
→ AMEGY INVESTMENTS, INC.Registered adviserregistration: previous registration
Nov 3, 2004 to Feb 21, 2013factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 22, 1999 to Oct 29, 2004factForm ADV

Dated events

Occurred
Nov 19, 2024
Advisor changed firm
Richard Steven Sowell left Cetera Investment Advisers Llc for Vanguard Advisers, Inc. (registered 2025-09-10)
Form ADVobserved 4 days ago