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 Buel Bates
Feed of 09/15/2026
Also filed as Rick Bates
At current firm
7 y
since Mar 19, 2019
In the industry
40 y
since Feb 4, 1986 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Sound Income Strategies, LLC independent RIA currentsince Mar 19, 2019 · Fort Lauderdale, Fl
- Sound Income Strategies, LLC independent RIADec 8, 2014 to Dec 31, 2017 · Spokane, Wa
- Integrity Investment & Tax Advisory, LLC unclassifiedApr 19, 2012 to Dec 31, 2012 · Liberty Lake, Wa
- Investment Advisors Corp formerNov 13, 2008 to Dec 31, 2011 · Kallispell, Mt
- Stifel Independent Advisors, LLC BD affiliatedOct 1, 2007 to Nov 17, 2008 · St. Louis, Mo
- Kcd Financial, Inc. independent RIAAug 11, 2006 to Oct 3, 2007 · Green Bay, Wi
- Stifel Independent Advisors, LLC BD affiliatedOct 17, 2003 to Aug 14, 2006 · Kalispell, Mt
- Wells Fargo Advisors wirehouseMay 13, 2002 to Oct 28, 2003 · Kalispell, Mt
Moves
a registration end followed by a registration begin elsewhere
- Integrity Investment & Tax Advisory, LLC to Sound Income Strategies, LLCleft Dec 31, 2012, registered Dec 8, 2014 (707 days) · Other
- Investment Advisors Corp to Integrity Investment & Tax Advisory, LLCleft Dec 31, 2011, registered Apr 19, 2012 (110 days) · Other
- Stifel Independent Advisors, LLC to Investment Advisors Corpleft Nov 17, 2008, registered Nov 13, 2008 (-4 days) · Other
- Kcd Financial, Inc. to Stifel Independent Advisors, LLCleft Oct 3, 2007, registered Oct 1, 2007 (-2 days) · Other
- Stifel Independent Advisors, LLC to Kcd Financial, Inc.left Aug 14, 2006, registered Aug 11, 2006 (-3 days) · Other
- Wells Fargo Advisors to Stifel Independent Advisors, LLCleft Oct 28, 2003, registered Oct 17, 2003 (-11 days) · Other
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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address