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RIA / WealthAdvisor24 years in industry

RORY RICHARD

Advisor at SOUND INCOME STRATEGIES, LLC

Baton Rouge, LA | FORT LAUDERDALE, FL | Lafayette, LA

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Search this name across graphsid dfx:ria:c78013f9-ca14-bac9-d58d-0a82758b01b0

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Sep 18, 2002 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: SOUND INCOME STRATEGIES, 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: Sep 18, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65
First exam: May 23, 2019
First registration: Sep 18, 2002
Dual registered: no
Other names: RORY JUDE RICHARD
IAPD individual key: 4339414

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
SOUND INCOME STRATEGIES, LLC	Independent wealth	Apr 17, 2023	n/a	yes	Baton Rouge, LA\|Lafayette, LA\|FORT LAUDERDALE, FL	Current employment
PORTFOLIO DYNAMIX	State registered	Oct 26, 2022	Jun 14, 2023	no	THE WOODLANDS, TX\|Lafayette, LA	Previous registration
LIFEWORKS ADVISORS, LLC	Independent wealth	May 5, 2021	Nov 3, 2022	no	GRAND RAPIDS, MI\|Lafayette, LA	Previous registration
BROOKSTONE WEALTH ADVISORS, LLC	No RAUM reported	Jun 17, 2019	May 18, 2021	no	LAFAYETTE, LA\|LAKE CHARLES, LA\|ALEXANDRIA, LA	Previous registration
PARK AVENUE SECURITIES LLC	Bd affiliated wealth	Apr 29, 2015	Feb 23, 2016	no	LAFAYETTE, LA	Previous registration
PARK AVENUE SECURITIES LLC	Bd affiliated wealth	Sep 18, 2002	Feb 7, 2005	no	LAFAYETTE, LA	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
PORTFOLIO DYNAMIX	SOUND INCOME STRATEGIES, LLC	Jun 14, 2023	Apr 17, 2023	-58	Firm change after gap	Other
LIFEWORKS ADVISORS, LLC	PORTFOLIO DYNAMIX	Nov 3, 2022	Oct 26, 2022	-8	Firm change	RIA to state RIA
BROOKSTONE WEALTH ADVISORS, LLC	LIFEWORKS ADVISORS, LLC	May 18, 2021	May 5, 2021	-13	Firm change	RIA to RIA
PARK AVENUE SECURITIES LLC	BROOKSTONE WEALTH ADVISORS, LLC	Feb 23, 2016	Jun 17, 2019	1,210	Firm change after gap	Other

Relationships

Registered with (5)

→ SOUND INCOME STRATEGIES, LLCRegistered adviserregistration: current employment
Apr 17, 2023 to presentfactForm ADV
→ PORTFOLIO DYNAMIXRegistered adviserregistration: previous registration
Oct 26, 2022 to Jun 14, 2023factForm ADV
→ LIFEWORKS ADVISORS, LLCRegistered adviserregistration: previous registration
May 5, 2021 to Nov 3, 2022factForm ADV
→ BROOKSTONE WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
Jun 17, 2019 to May 18, 2021factForm ADV
→ PARK AVENUE SECURITIES LLCRegistered adviserregistration: previous registration
Apr 29, 2015 to Feb 23, 2016factForm ADV

Dated events

Occurred
Jun 14, 2023
Advisor changed firm
Rory Richard left Portfolio Dynamix for Sound Income Strategies, Llc (registered 2023-04-17)
Form ADVobserved 6 days ago
Occurred
Nov 3, 2022
Advisor changed firm
Rory Richard left Lifeworks Advisors, Llc for Portfolio Dynamix (registered 2022-10-26)
Form ADVobserved 6 days ago