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 Hakim Drew
Feed of 09/18/2026
Also filed as Rick Drew
At current firm
0 y
since Sep 16, 2026
In the industry
27 y
since Oct 28, 1998 (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
S66, S63, S65
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- Vanguard Advisers, Inc. BD affiliated currentsince Sep 16, 2026 · Charlotte, Nc
- Summit Financial, LLC BD affiliatedNov 13, 2024 to Jun 22, 2026 · Charlotte, Nc
- Sedna Wealth Management, LLC unclassifiedMar 6, 2018 to Sep 22, 2024 · Waxhaw, Nc
- Allspring Funds Management, LLC asset managerFeb 23, 2010 to Oct 10, 2017 · Boston, Ma
- Evergreen Investment Management Co unclassifiedOct 16, 2009 to Dec 31, 2009 · Boston, Ma
Moves
a registration end followed by a registration begin elsewhere
- Summit Financial, LLC to Vanguard Advisers, Inc.left Jun 22, 2026, registered Sep 16, 2026 (86 days) · Affiliated broker-dealer or bank to another
- Sedna Wealth Management, LLC to Summit Financial, LLCleft Sep 22, 2024, registered Nov 13, 2024 (52 days) · Other
- Allspring Funds Management, LLC to Sedna Wealth Management, LLCleft Oct 10, 2017, registered Mar 6, 2018 (147 days) · Other
- Evergreen Investment Management Co to Allspring Funds Management, LLCleft Dec 31, 2009, registered Feb 23, 2010 (54 days) · Other
Signals
- Richard Hakim Drew added a TX registration at Vanguard Advisers, Inc.Sep 17, 2026 · New state registration · fact
- Richard Hakim Drew registered as an investment adviser representative at Vanguard Advisers, Inc.Sep 16, 2026 · Advisor registered · fact
- Richard Hakim Drew added a NC registration at Vanguard Advisers, Inc.Sep 16, 2026 · New state registration · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address