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 Allen Sandman
Feed of 09/14/2026
Also filed as Richard A Sandman
At current firm
0 y
since Jan 30, 2026
In the industry
39 y
since May 14, 1987 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Ameriprise Financial Services, LLC national BD currentsince Jan 30, 2026 · Louisville, Ky
- Edward Jones national BDApr 8, 2019 to Feb 2, 2026 · Goshen, Ky
- Silver Oak Securities, Inc. BD affiliatedJun 30, 2017 to Aug 2, 2018 · Goshen, Ky
- On Investment Management Co BD affiliatedSep 12, 2014 to Jul 1, 2015 · Goshen, Ky
- Transamerica Financial Advisors, LLC BD affiliatedFeb 12, 2013 to Jun 2, 2014 · Louisville, Ky
Moves
a registration end followed by a registration begin elsewhere
- Edward Jones to Ameriprise Financial Services, LLCleft Feb 2, 2026, registered Jan 30, 2026 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- Silver Oak Securities, Inc. to Edward Jonesleft Aug 2, 2018, registered Apr 8, 2019 (249 days) · RIA to affiliated broker-dealer or bank
- On Investment Management Co to Silver Oak Securities, Inc.left Jul 1, 2015, registered Jun 30, 2017 (730 days) · Other
- Transamerica Financial Advisors, LLC to On Investment Management Coleft Jun 2, 2014, registered Sep 12, 2014 (102 days) · Other
Signals
- Richard Allen Sandman left Edward Jones for Ameriprise Financial Services, Llc (registered 2026-01-30)Feb 2, 2026 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address