DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Richard William Vincent
Feed of 09/14/2026
At current firm
6 y
since Feb 26, 2020
In the industry
43 y
since Mar 11, 1983 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- A.G.P / Alliance Global Partners independent RIA currentsince Feb 26, 2020 · Boca Raton, Fl
- UBS Financial Services Inc. wirehouseMay 4, 2010 to Mar 6, 2020 · Florham Park, Nj
- Morgan Stanley wirehouseJun 1, 2009 to May 27, 2010 · Florham Park, Nj
- Citigroup Global Markets Inc. BD affiliatedNov 18, 2005 to Jun 1, 2009 · Florham Park, Nj
- Oppenheimer Asset Management BD affiliatedApr 15, 2003 to Dec 2, 2005 · New York, Ny
- Oppenheimer & Co. Inc. BD affiliatedJan 3, 2003 to Apr 15, 2003 · Florham Park, Nj
- Cibc World Markets Corp. unclassifiedJun 24, 2002 to Jan 3, 2003 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- UBS Financial Services Inc. to A.G.P / Alliance Global Partnersleft Mar 6, 2020, registered Feb 26, 2020 (-9 days) · Wirehouse to independent RIA
- Morgan Stanley to UBS Financial Services Inc.left May 27, 2010, registered May 4, 2010 (-23 days) · Wirehouse to wirehouse
- Citigroup Global Markets Inc. to Morgan Stanleyleft Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- Oppenheimer Asset Management to Citigroup Global Markets Inc.left Dec 2, 2005, registered Nov 18, 2005 (-14 days) · Other
- Oppenheimer & Co. Inc. to Oppenheimer Asset Managementleft Apr 15, 2003, registered Apr 15, 2003 (0 days) · corporate re-registration, not a move
- Cibc World Markets Corp. to Oppenheimer & Co. Inc.left Jan 3, 2003, registered Jan 3, 2003 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address