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RIA / WealthAdvisorCertified Financial Planner46 years in industry

RICHARD ALAN SAMPLEY

Advisor at THE FIDUCIARY ALLIANCE

GREENVILLE, SC | ATLANTA, GA

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Search this name across graphsid dfx:ria:93c24965-9721-65ba-1d8d-bb4daa06083b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: May 2, 2003 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: THE FIDUCIARY ALLIANCE
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 16, 1980earliest registration or exam on IAPD
Years in industry: 46derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Jun 16, 1980
First registration: May 2, 2003
Dual registered: no
Other names: RICK SAMPLEY
IAPD individual key: 409802

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
THE FIDUCIARY ALLIANCE	Independent wealth	Nov 13, 2024	n/a	yes	ATLANTA, GA\|GREENVILLE, SC	Current employment
BISON WEALTH, LLC	Former SEC adviser	Nov 3, 2014	Nov 8, 2024	no	ATLANTA, GA\|ATLANTA,, GA\|ATLANTA, GA	Previous registration
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Feb 13, 2013	Nov 7, 2014	no	ATLANTA, GA	Previous registration
MORGAN KEEGAN & COMPANY, LLC	Former SEC adviser	Jul 14, 2006	Feb 13, 2013	no	ATLANTA, GA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	May 2, 2003	Jul 31, 2006	no	ATLANTA, GA\|ATLANTA, GA	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
BISON WEALTH, LLC	THE FIDUCIARY ALLIANCE	Nov 8, 2024	Nov 13, 2024	5	Firm change	RIA to RIA
RAYMOND JAMES & ASSOCIATES, INC.	BISON WEALTH, LLC	Nov 7, 2014	Nov 3, 2014	-4	Firm change	Other
MORGAN KEEGAN & COMPANY, LLC	RAYMOND JAMES & ASSOCIATES, INC.	Feb 13, 2013	Feb 13, 2013	0	Bulk transfer	Other
UBS FINANCIAL SERVICES INC.	MORGAN KEEGAN & COMPANY, LLC	Jul 31, 2006	Jul 14, 2006	-17	Firm change	Other

Relationships

Registered with (5)

→ THE FIDUCIARY ALLIANCERegistered adviserregistration: current employment
Nov 13, 2024 to presentfactForm ADV
→ BISON WEALTH, LLCRegistered adviserregistration: previous registration
Nov 3, 2014 to Nov 8, 2024factForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
Feb 13, 2013 to Nov 7, 2014factForm ADV
→ MORGAN KEEGAN & COMPANY, LLCRegistered adviserregistration: previous registration
Jul 14, 2006 to Feb 13, 2013factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
May 2, 2003 to Jul 31, 2006factForm ADV

Dated events

Occurred
Nov 8, 2024
Advisor changed firm
Richard Alan Sampley left Bison Wealth, Llc for The Fiduciary Alliance (registered 2024-11-13)
Form ADVobserved 5 days ago