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
Lucinda Lynn Richey
Certified Financial Planner
Feed of 09/14/2026
Also filed as Cindy Richey
At current firm
8 y
since Sep 6, 2018
In the industry
30 y
since Jun 6, 1996 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
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
- Prosperity Planning independent RIA currentsince Sep 6, 2018 · North Kansas City, Mo
- Cetera Advisors LLC formerJan 1, 2004 to Jan 6, 2020 · Overland Park, Ks
- Prosperity Network, Inc unclassifiedFeb 4, 2003 to Dec 31, 2004 · Overland Park, Ks
- Vestax Securities Corporation unclassifiedNov 26, 2002 to Jan 1, 2004 · Overland Park, Ks
- Sunset Financial Services, Inc. formerMar 15, 1999 to Nov 22, 2002 · Kansas City, Mo
Moves
a registration end followed by a registration begin elsewhere
- Cetera Advisors LLC to Prosperity Planningleft Jan 6, 2020, registered Sep 6, 2018 (-487 days) · Other
- Prosperity Network, Inc to Cetera Advisors LLCleft Dec 31, 2004, registered Jan 1, 2004 (-365 days) · Other
- Vestax Securities Corporation to Prosperity Network, Incleft Jan 1, 2004, registered Feb 4, 2003 (-331 days) · Other
- Sunset Financial Services, Inc. to Vestax Securities Corporationleft Nov 22, 2002, registered Nov 26, 2002 (4 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address