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RIA / WealthAdvisor25 years in industry

NEVILLE EARL RICHARDSON

Advisor at ALPHA PRIVATE WEALTH ADVISORS LLC

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:ce294c46-d35d-bc3c-9f13-cb6c9a2c7de2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 8, 2005 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: ALPHA PRIVATE WEALTH ADVISORS LLC
Current firm class: former SEC adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 23, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Feb 23, 2001
First registration: Feb 8, 2005
Dual registered: no
Other names: NEVILLE E. RICHARDSON|NEVILLE EARL RICHARDSON
IAPD individual key: 4275361

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
ALPHA PRIVATE WEALTH ADVISORS LLC	Former SEC adviser	Oct 1, 2014	n/a	yes	SAN FRANCISCO, CA	Current employment
HILLTOP SECURITIES INC.	Bd affiliated wealth	Sep 20, 2013	Oct 27, 2014	no	SAN FRANCISCO, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 29, 2005	Sep 24, 2013	no	BERKELEY, CA\|OAKLAND, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Feb 8, 2005	Jul 26, 2005	no	HERCULES, CA	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
HILLTOP SECURITIES INC.	ALPHA PRIVATE WEALTH ADVISORS LLC	Oct 27, 2014	Oct 1, 2014	-26	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	HILLTOP SECURITIES INC.	Sep 24, 2013	Sep 20, 2013	-4	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jul 26, 2005	Jul 29, 2005	3	Firm change	Other

Relationships

Registered with (4)

→ ALPHA PRIVATE WEALTH ADVISORS LLCRegistered adviserregistration: current employment
Oct 1, 2014 to presentfactForm ADV
→ HILLTOP SECURITIES INC.Registered adviserregistration: previous registration
Sep 20, 2013 to Oct 27, 2014factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 29, 2005 to Sep 24, 2013factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Feb 8, 2005 to Jul 26, 2005factForm ADV

Dated events

No dated event names this entity yet.