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 Edward Ackerman
Feed of 09/14/2026
Also filed as Rick Ackerman
At current firm
0 y
since Jan 14, 2026
In the industry
12 y
since Dec 1, 2013 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Jan 14, 2026 · Ellisville, Mo
- Cambridge Investment Research Advisors, Inc. BD affiliatedAug 2, 2024 to Jan 15, 2026 · Chesterfield, Mo
- Saxony Capital Management, LLC independent RIASep 14, 2021 to Aug 20, 2024 · Chesterfield, Mo
Moves
a registration end followed by a registration begin elsewhere
- Cambridge Investment Research Advisors, Inc. to LPL Financial LLCleft Jan 15, 2026, registered Jan 14, 2026 (-1 days) · Affiliated broker-dealer or bank to another
- Saxony Capital Management, LLC to Cambridge Investment Research Advisors, Inc.left Aug 20, 2024, registered Aug 2, 2024 (-18 days) · RIA to affiliated broker-dealer or bank · moved with a team
Signals
- Richard Edward Ackerman left Cambridge Investment Research Advisors, Inc. for Lpl Financial Llc (registered 2026-01-14)Jan 15, 2026 · Advisor changed firm · fact
- Richard Edward Ackerman left Saxony Capital Management, Llc for Cambridge Investment Research Advisors, Inc. (registered 2024-08-02)Aug 20, 2024 · 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address