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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

RICH GOLDMAN ASSET MGMT, LLC

CRD 146689

SCOTTSDALE, AZ

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:a0f520f4-90f7-d7de-9c8c-2734699d96f5

Data as of Aug 1, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jan 25, 2012 to Aug 1, 2012
4 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: $78.0MItem 5.F on the latest filing (2012-08-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $52.0M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $78.0Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Accounts: 250
SEC number: 801-70681
CRD: 146689
Filings on the tape: 4
First filed: Jan 25, 2012
Latest filed: Aug 1, 2012
Organised: Limited Liability Company, Arizona

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
RICHARD CLEMENT GOLDMAN	n/a	PHOENIX, AZ	16	40	2	no

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
GOLDMAN, RICHARD, CLEMENT	President	E	yes	10/2007	Jan 25, 2012	Aug 1, 2012
BLANCHETTE, SHANNA, MARIE	CHIEF COMPLIANCE OFFICER	Na	no	06/2010	Jan 25, 2012	Aug 1, 2012

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
2011	Jan 25, 2012	$78.0M	$52.0M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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
2011	$78.0M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (1)

← GOLDMAN, RICHARD, CLEMENTOwnerPRESIDENT, ownership code E, individual
Jan 25, 2012 to presentfactForm ADV

Owns (1)

← BLANCHETTE, SHANNA, MARIEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 25, 2012 to presentfactForm ADV

Registered with (5)

← RICHARD CLEMENT GOLDMANAdvisorregistration: current employment
Oct 8, 2009 to presentfactForm ADV
← PHILIP HUNTER BERVIGAdvisorregistration: previous registration
Mar 25, 2010 to Jan 28, 2015factForm ADV
← SHANNA MARIE TEMPLETONAdvisorregistration: previous registration
Mar 12, 2013 to Dec 19, 2013factForm ADV
← KEVIN TODD CANTERBURYAdvisorregistration: previous registration
May 6, 2010 to Apr 8, 2011factForm ADV
← DENIS J RYANAdvisorregistration: previous registration
Sep 11, 2009 to Apr 6, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a0f520f4-90f7-d7de-9c8c-2734699d96f5
First observed: Jan 25, 2012
Last observed: Aug 1, 2012 172 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.

RICH GOLDMAN ASSET MGMT, LLC

CRD 146689

SCOTTSDALE, AZ

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:a0f520f4-90f7-d7de-9c8c-2734699d96f5

Data as of Aug 1, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:03 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

RICHARD CLEMENT GOLDMAN

n/a

PHOENIX, AZ

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GOLDMAN, RICHARD, CLEMENT

President

yes

10/2007

Jan 25, 2012

Aug 1, 2012

BLANCHETTE, SHANNA, MARIE

CHIEF COMPLIANCE OFFICER

06/2010

Jan 25, 2012

Aug 1, 2012

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Jan 25, 2012

$78.0M

$52.0M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$78.0M

n/a