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 Wayne Klotz
Feed of 09/14/2026
Also filed as Richard W Klotz
At current firm
19 y
since Dec 11, 2006
In the industry
35 y
since Mar 19, 1991 (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
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
- Osaic Wealth, Inc. BD affiliated currentsince Dec 11, 2006 · Pleasant Hill, Ca
- Nwf Advisory Services Inc independent RIAMar 19, 2009 to Jan 5, 2010 · Pleasant Hill, Ca
- Sterling Financial Services, Inc. unclassifiedFeb 2, 2007 to Mar 17, 2009 · Walnut Creek, Ca
- Eagle Strategies LLC BD affiliatedMay 21, 2004 to Nov 13, 2006 · Pleasanton, Ca
- Signator Investors, Inc. formerJul 14, 1999 to Mar 2, 2004 · Concord, Ca
Moves
a registration end followed by a registration begin elsewhere
- Nwf Advisory Services Inc to no registered destinationleft Jan 5, 2010 · Departure, no registered destination
- Sterling Financial Services, Inc. to Nwf Advisory Services Incleft Mar 17, 2009, registered Mar 19, 2009 (2 days) · Other
- Eagle Strategies LLC to Osaic Wealth, Inc.left Nov 13, 2006, registered Dec 11, 2006 (28 days) · Other
- Signator Investors, Inc. to Eagle Strategies LLCleft Mar 2, 2004, registered May 21, 2004 (80 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address