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 Vernon Welch
Feed of 09/14/2026
At current firm
0 y
since Nov 17, 2025
In the industry
25 y
since Jun 29, 2001 (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
S63, S65, 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
- Empower Advisory Group, LLC BD affiliated currentsince Nov 17, 2025 · Greenwood Village, Co
- Capital One Advisors, LLC formerApr 9, 2015 to Dec 4, 2017 · Port Arthur, Tx
- Td Ameritrade, Inc. formerMar 7, 2011 to Apr 25, 2013 · Houston, Tx
- Td Ameritrade Investment Management, LLC formerMar 7, 2011 to Apr 25, 2013 · Houston, Tx
- Bok Financial Asset Management, Inc. formerApr 8, 2008 to Aug 28, 2008 · Houston, Tx
- Charles Schwab & Co., Inc. national BDOct 30, 2003 to Mar 24, 2008 · Houston, Tx
- Msi Financial Services, Inc. formerMar 10, 2003 to Jun 3, 2003 · Houston, Tx
- Morgan Stanley Dw Inc. unclassifiedJun 29, 2001 to Mar 10, 2003 · Webster, Tx
Moves
a registration end followed by a registration begin elsewhere
- Capital One Advisors, LLC to Empower Advisory Group, LLCleft Dec 4, 2017, registered Nov 17, 2025 (2905 days) · Other
- Td Ameritrade Investment Management, LLC to Td Ameritrade, Inc.left Apr 25, 2013, registered Mar 7, 2011 (-780 days) · Other
- Td Ameritrade, Inc. to Td Ameritrade Investment Management, LLCleft Apr 25, 2013, registered Mar 7, 2011 (-780 days) · channel change inside one enterprise, not a move
- Bok Financial Asset Management, Inc. to Td Ameritrade Investment Management, LLCleft Aug 28, 2008, registered Mar 7, 2011 (921 days) · Other
- Charles Schwab & Co., Inc. to Bok Financial Asset Management, Inc.left Mar 24, 2008, registered Apr 8, 2008 (15 days) · Other
- Msi Financial Services, Inc. to Charles Schwab & Co., Inc.left Jun 3, 2003, registered Oct 30, 2003 (149 days) · Other
- Morgan Stanley Dw Inc. to Msi Financial Services, Inc.left Mar 10, 2003, registered Mar 10, 2003 (0 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
- 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