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 George Bassman
Certified Financial Planner
Feed of 09/14/2026
At current firm
7 y
since Dec 6, 2018
In the industry
31 y
since Jul 24, 1995 (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, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Dec 6, 2018 · Carmel Valley, Ca
- MML Investors Services, LLC BD affiliatedMar 25, 2017 to Dec 11, 2018 · San Jose, Ca
- Msi Financial Services, Inc. formerJan 2, 2015 to Mar 25, 2017 · San Jose, Ca
- New England Securities Corporation formerAug 13, 2012 to Jan 2, 2015 · Campbell, Ca
- Ameriprise Financial Services, LLC national BDApr 15, 2003 to Aug 10, 2012 · San Jose, Ca
Moves
a registration end followed by a registration begin elsewhere
- MML Investors Services, LLC to LPL Financial LLCleft Dec 11, 2018, registered Dec 6, 2018 (-5 days) · Affiliated broker-dealer or bank to independent RIA
- Msi Financial Services, Inc. to MML Investors Services, LLCleft Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- New England Securities Corporation to Msi Financial Services, Inc.left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move
- Ameriprise Financial Services, LLC to New England Securities Corporationleft Aug 10, 2012, registered Aug 13, 2012 (3 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address