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 Lee Fields
Feed of 09/14/2026
At current firm
17 y
since Apr 1, 2009
In the industry
32 y
since Apr 4, 1994 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- Capital Investment Advisory Services, LLC BD affiliated currentsince Apr 1, 2009 · Raleigh, Nc
- Cic Advisers, LLC unclassifiedFeb 23, 2005 to Dec 31, 2012 · Winston-Salem, Nc
- Park Avenue Securities LLC BD affiliatedApr 1, 2004 to Feb 8, 2005 · Charlotte, Nc
- C.P. Advisory Services unclassifiedDec 31, 2001 to Apr 1, 2004 · Winston-Salem, Nc
Moves
a registration end followed by a registration begin elsewhere
- Cic Advisers, LLC to Capital Investment Advisory Services, LLCleft Dec 31, 2012, registered Apr 1, 2009 (-1370 days) · corporate re-registration, not a move
- Park Avenue Securities LLC to Cic Advisers, LLCleft Feb 8, 2005, registered Feb 23, 2005 (15 days) · Other
- C.P. Advisory Services to Park Avenue Securities LLCleft Apr 1, 2004, registered Apr 1, 2004 (0 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address