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 John Ballou
Feed of 09/14/2026
Also filed as Rick Ballou
At current firm
8 y
since Sep 12, 2018
In the industry
38 y
since Oct 5, 1987 (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, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Janney Montgomery Scott LLC BD affiliated currentsince Sep 12, 2018 · Atlanta, Ga
- Janney Montgomery Scott LLC BD affiliatedMar 30, 2017 to Sep 10, 2018 · Atlanta, Ga
- Columbia Management Investment Advisers, LLC asset managerMay 1, 2010 to Feb 16, 2016 · Minneapolis, Mn
- Bofa Advisors, LLC formerMar 29, 2005 to May 7, 2010 · Atlanta, Ga
- Columbia Management Advisors, Inc. unclassifiedApr 1, 2003 to Mar 28, 2005 · Boston, Ma
- Stein Roe & Farnham Incorporated unclassifiedJun 3, 2002 to Apr 1, 2003 · Boston, Ma
- UBS Financial Services Inc. wirehouseDec 31, 2001 to May 22, 2002 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- Columbia Management Investment Advisers, LLC to Janney Montgomery Scott LLCleft Feb 16, 2016, registered Mar 30, 2017 (408 days) · Other
- Bofa Advisors, LLC to Columbia Management Investment Advisers, LLCleft May 7, 2010, registered May 1, 2010 (-6 days) · corporate re-registration, not a move
- Columbia Management Advisors, Inc. to Bofa Advisors, LLCleft Mar 28, 2005, registered Mar 29, 2005 (1 days) · Other
- Stein Roe & Farnham Incorporated to Columbia Management Advisors, Inc.left Apr 1, 2003, registered Apr 1, 2003 (0 days) · Other
- UBS Financial Services Inc. to Stein Roe & Farnham Incorporatedleft May 22, 2002, registered Jun 3, 2002 (12 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address