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 Kenneth Wiethorn

Osaic Institutions, Inc.BD affiliatedClinton, Ncdual registrantIAPD 4313050

Feed of 09/14/2026

Also filed as Rick Wiethorn

At current firm

4 y

since Jul 6, 2022

In the industry

25 y

since Mar 30, 2001 (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

Osaic Institutions, Inc. BD affiliated current
since Jul 6, 2022 · Clinton, Nc
First Horizon Advisors, Inc former
Apr 13, 2020 to Jul 14, 2022 · Raleigh, Nc
Wells Fargo Advisors wirehouse
Sep 10, 2015 to Apr 16, 2020 · Smithfield, Nc
First Citizens Investor Services, Inc. BD affiliated
Jun 4, 2014 to Sep 10, 2015 · Smithfield, Nc
Essex National Securities, Inc. former
Aug 3, 2011 to Jun 2, 2014 · Bridgeville, Pa
Citizens Securities, Inc. BD affiliated
Aug 10, 2010 to Jul 22, 2011 · Pittsburgh, Pa
LPL Financial LLC BD affiliated
Dec 5, 2008 to Aug 12, 2010 · Weyford, Pa
Uvest Financial Services Group, Inc. unclassified
Jul 30, 2004 to Jul 30, 2010 · Wexford, Pa
Uvest Financial Services Group, Inc. unclassified
Apr 20, 2004 to Jul 28, 2004 · Pittsburgh, Pa
Ga Financial Strategies LLC unclassified
May 18, 2001 to May 26, 2004 · Pittsburgh, Pa

Moves

a registration end followed by a registration begin elsewhere

First Horizon Advisors, Inc to Osaic Institutions, Inc.
left Jul 14, 2022, registered Jul 6, 2022 (-8 days) · RIA to affiliated broker-dealer or bank
Wells Fargo Advisors to First Horizon Advisors, Inc
left Apr 16, 2020, registered Apr 13, 2020 (-3 days) · Wirehouse to independent RIA
First Citizens Investor Services, Inc. to Wells Fargo Advisors
left Sep 10, 2015, registered Sep 10, 2015 (0 days) · Other
Essex National Securities, Inc. to First Citizens Investor Services, Inc.
left Jun 2, 2014, registered Jun 4, 2014 (2 days) · Other
Citizens Securities, Inc. to Essex National Securities, Inc.
left Jul 22, 2011, registered Aug 3, 2011 (12 days) · Other
LPL Financial LLC to Citizens Securities, Inc.
left Aug 12, 2010, registered Aug 10, 2010 (-2 days) · Other
Uvest Financial Services Group, Inc. to LPL Financial LLC
left Jul 30, 2010, registered Dec 5, 2008 (-602 days) · Other
Ga Financial Strategies LLC to Uvest Financial Services Group, Inc.
left May 26, 2004, registered Apr 20, 2004 (-36 days) · Other

Signals

Richard Kenneth Wiethorn left First Horizon Advisors, Inc for Osaic Institutions, Inc. (registered 2022-07-06)
Jul 14, 2022 · 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