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

Rick Andrew Fuchs

LPL Financial LLCBD affiliatedBee Cave, Txdual registrantIAPD 4211739

Feed of 09/14/2026

Also filed as Rick Andrew Fuchs

At current firm

2 y

since Oct 2, 2023

In the industry

25 y

since Sep 20, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Financial LLC BD affiliated current
since Oct 2, 2023 · Bee Cave, Tx
Steward Partners Investment Advisory, LLC BD affiliated
Oct 2, 2020 to Oct 20, 2023 · Austin, Tx
Wells Fargo Advisors wirehouse
Sep 23, 2013 to Oct 6, 2020 · Austin, Tx
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
May 8, 2003 to Sep 25, 2013 · Austin, Tx
Alliancebernstein L.P. other
Feb 22, 2001 to May 27, 2003 · Los Angeles, Ca

Moves

a registration end followed by a registration begin elsewhere

Steward Partners Investment Advisory, LLC to LPL Financial LLC
left Oct 20, 2023, registered Oct 2, 2023 (-18 days) · Affiliated broker-dealer or bank to another
Wells Fargo Advisors to Steward Partners Investment Advisory, LLC
left Oct 6, 2020, registered Oct 2, 2020 (-4 days) · Wirehouse to independent RIA · moved with a team
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Wells Fargo Advisors
left Sep 25, 2013, registered Sep 23, 2013 (-2 days) · Wirehouse to wirehouse
Alliancebernstein L.P. to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left May 27, 2003, registered May 8, 2003 (-19 days) · Other

Signals

Rick Andrew Fuchs left Steward Partners Investment Advisory, Llc for Lpl Financial Llc (registered 2023-10-02)
Oct 20, 2023 · Advisor changed firm · 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address