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 Lynn Havard
Feed of 09/15/2026
Also filed as Rick Havard
At current firm
2 y
since Oct 25, 2023
In the industry
32 y
since Mar 15, 1994 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Calton & Associates, Inc. independent RIA currentsince Oct 25, 2023 · Tampa, Fl
- Gqo Investment Advisors, Inc. state registeredMar 26, 2022 to Oct 24, 2023 · Prosper, Tx
- Dominion Portfolio Management, Inc. independent RIADec 1, 2017 to Apr 1, 2020 · Prosper, Tx
- Invest Financial Corporation formerNov 7, 2007 to Oct 23, 2017 · Mineola, Tx
- Securities America Advisors, Inc. formerApr 29, 2002 to Nov 8, 2007 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- Gqo Investment Advisors, Inc. to Calton & Associates, Inc.left Oct 24, 2023, registered Oct 25, 2023 (1 days) · Other
- Dominion Portfolio Management, Inc. to Gqo Investment Advisors, Inc.left Apr 1, 2020, registered Mar 26, 2022 (724 days) · RIA to a state-registered adviser
- Invest Financial Corporation to Dominion Portfolio Management, Inc.left Oct 23, 2017, registered Dec 1, 2017 (39 days) · Other
- Securities America Advisors, Inc. to Invest Financial Corporationleft Nov 8, 2007, registered Nov 7, 2007 (-1 days) · Other
Signals
- Richard Lynn Havard left Gqo Investment Advisors, Inc. for Calton & Associates, Inc. (registered 2023-10-25)Oct 24, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address