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
James Patrick Richter
Certified Financial Planner
Feed of 09/14/2026
Also filed as Jim Richter
At current firm
2 y
since Jun 5, 2024
In the industry
27 y
since Oct 30, 1998 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- Monotelo Wealth Partners state registered currentsince Jun 5, 2024 · Elgin, Il
- Monotelo Wealth Partners state registeredMar 29, 2017 to Dec 31, 2023 · Elgin, Il
- Monotelo Wealth Partners state registeredMar 29, 2017 to Dec 31, 2019 · Elgin, Il
- Avantax Advisory Services formerJul 29, 2015 to Mar 10, 2017 · Elgin, Il
- Pt Asset Management, LLC asset managerAug 17, 2011 to Jan 26, 2015 · Chicago, Il
- A. G. Edwards & Sons, Inc. unclassifiedJul 26, 2006 to Sep 27, 2007 · Elgin, Il
- Uvest Financial Services Group, Inc. unclassifiedFeb 17, 2004 to Mar 14, 2005 · Hampshire, Il
- Pt Asset Management, LLC asset managerApr 1, 2003 to Jul 24, 2003 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- Avantax Advisory Services to Monotelo Wealth Partnersleft Mar 10, 2017, registered Mar 29, 2017 (19 days) · Other
- Pt Asset Management, LLC to Avantax Advisory Servicesleft Jan 26, 2015, registered Jul 29, 2015 (184 days) · Other
- A. G. Edwards & Sons, Inc. to Pt Asset Management, LLCleft Sep 27, 2007, registered Aug 17, 2011 (1420 days) · Other
- Uvest Financial Services Group, Inc. to A. G. Edwards & Sons, Inc.left Mar 14, 2005, registered Jul 26, 2006 (499 days) · Other
- Pt Asset Management, LLC to Uvest Financial Services Group, Inc.left Jul 24, 2003, registered Feb 17, 2004 (208 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
- STATE REGISTEREDderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address