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RIA / WealthAdvisorChartered Financial Consultant43 years in industry

RICHARD READ APPLEGATE

Advisor at D.B. ROOT & COMPANY, LLC

PITTSBURGH, PA

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Search this name across graphsid dfx:ria:b8eca3d4-79c0-3383-14c7-573e799d6c05

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jan 31, 1997 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: D.B. ROOT & COMPANY, LLC
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: Aug 15, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Designations: Chartered Financial Consultant
Exams: S65|S63
First exam: Aug 15, 1983
First registration: Jan 31, 1997
Dual registered: no
Other names: RICK APPLEGATE
IAPD individual key: 821789

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
D.B. ROOT & COMPANY, LLC	Independent wealth	Jan 10, 2018	n/a	yes	PITTSBURGH, PA	Current employment
R. APPLEGATE & ASSOCIATES LLC	Former SEC adviser	Jan 8, 2018	Mar 14, 2019	no	PITTSBURGH, PA\|PITTSBURGH, PA	Previous registration
CANTOR FITZGERALD WEALTH PARTNERS, LLC	Former SEC adviser	Apr 2, 2015	Jan 4, 2018	no	PITTSBURGH, PA	Previous registration
ESSEX NATIONAL SECURITIES, INC.	Former SEC adviser	Jun 7, 2010	Apr 9, 2014	no	WEXFORD, PA\|WEXFORD, PA\|NAPA, CA\|PITTSBURGH, PA	Previous registration
UVEST FINANCIAL SERVICES GROUP, INC.	n/a	Jun 26, 2002	Jun 2, 2010	no	INDIANA, PA\|WEXFORD, PA\|WEXFORD, PA	Previous registration
FIRST COMMONWEALTH FINANCIAL ADVISORS, INC.	Former SEC adviser	Jan 31, 1997	Nov 12, 2014	no	WEXFORD, PA	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
R. APPLEGATE & ASSOCIATES LLC	D.B. ROOT & COMPANY, LLC	Mar 14, 2019	Jan 10, 2018	-428	Firm change after gap	Other
CANTOR FITZGERALD WEALTH PARTNERS, LLC	R. APPLEGATE & ASSOCIATES LLC	Jan 4, 2018	Jan 8, 2018	4	Firm change	Other
FIRST COMMONWEALTH FINANCIAL ADVISORS, INC.	UVEST FINANCIAL SERVICES GROUP, INC.	Nov 12, 2014	Jun 26, 2002	-4,522	Firm change after gap	Other
ESSEX NATIONAL SECURITIES, INC.	CANTOR FITZGERALD WEALTH PARTNERS, LLC	Apr 9, 2014	Apr 2, 2015	358	Firm change	Other
UVEST FINANCIAL SERVICES GROUP, INC.	ESSEX NATIONAL SECURITIES, INC.	Jun 2, 2010	Jun 7, 2010	5	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
167479:290992:PA:2018-01-04	Jan 4, 2018	Jan 8, 2018	PITTSBURGH, PA	Firm change

Relationships

Registered with (6)

→ D.B. ROOT & COMPANY, LLCRegistered adviserregistration: current employment
Jan 10, 2018 to presentfactForm ADV
→ R. APPLEGATE & ASSOCIATES LLCRegistered adviserregistration: previous registration
Jan 8, 2018 to Mar 14, 2019factForm ADV
→ CANTOR FITZGERALD WEALTH PARTNERS, LLCRegistered adviserregistration: previous registration
Apr 2, 2015 to Jan 4, 2018factForm ADV
→ FIRST COMMONWEALTH FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Jan 31, 1997 to Nov 12, 2014factForm ADV
→ ESSEX NATIONAL SECURITIES, INC.Registered adviserregistration: previous registration
Jun 7, 2010 to Apr 9, 2014factForm ADV
→ UVEST FINANCIAL SERVICES GROUP, INC.Registered adviserregistration: previous registration
Jun 26, 2002 to Jun 2, 2010factForm ADV

Dated events

No dated event names this entity yet.