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 Allan Thompson
Certified Financial Planner · Chartered Financial Analyst
Feed of 09/14/2026
At current firm
7 y
since Oct 23, 2018
In the industry
33 y
since Dec 18, 1992 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- Resonant Capital Advisors, LLC independent RIA currentsince Oct 23, 2018 · Madison, Wi
- LPL Financial LLC BD affiliatedFeb 14, 2018 to Dec 18, 2018 · Madison, Wi
- Sii Investments, Inc. formerJul 12, 2012 to Feb 15, 2018 · Madison, Wi
- Morgan Stanley wirehouseJun 1, 2009 to Jul 17, 2012 · Middleton, Wi
- Morgan Stanley & Co. LLC unclassifiedApr 2, 2007 to Jun 1, 2009 · Madison, Wi
- Morgan Stanley Dw Inc. unclassifiedAug 13, 2004 to Apr 2, 2007 · Madison, Wi
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMar 24, 2004 to Aug 18, 2004 · Madison, Wi
Moves
a registration end followed by a registration begin elsewhere
- LPL Financial LLC to Resonant Capital Advisors, LLCleft Dec 18, 2018, registered Oct 23, 2018 (-56 days) · RIA to a newly registered adviser
- Sii Investments, Inc. to LPL Financial LLCleft Feb 15, 2018, registered Feb 14, 2018 (-1 days) · corporate re-registration, not a move
- Morgan Stanley to Sii Investments, Inc.left Jul 17, 2012, registered Jul 12, 2012 (-5 days) · Other
- Morgan Stanley & Co. LLC to Morgan Stanleyleft Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- Morgan Stanley Dw Inc. to Morgan Stanley & Co. LLCleft Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Morgan Stanley Dw Inc.left Aug 18, 2004, registered Aug 13, 2004 (-5 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
- Independent wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address