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 Shane Johnson
Feed of 09/15/2026
At current firm
12 y
since Jan 23, 2014
In the industry
24 y
since Dec 31, 2001 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- Advisors Asset Management, Inc. mixed wealth currentsince Jan 23, 2014 · Princeton, Nj
- Manager Connect, Inc unclassifiedJan 13, 2009 to Dec 31, 2013 · Glen Ellyn, Il
- Manager Connect, Inc unclassifiedJan 13, 2009 to Dec 31, 2014 · Glen Ellyn, Il
- Chase Investment Services Corp. formerMay 29, 2007 to Jun 5, 2008 · Wheaton, Il
- U.S. Bancorp Investments, Inc. formerAug 23, 2006 to May 14, 2007 · Rosemont, Il
- Guggenheim Investments asset managerMar 11, 2004 to Aug 29, 2006 · Lisle, Il
- Guggenheim Funds Distributors, LLC asset managerMar 12, 2003 to May 11, 2004 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- Manager Connect, Inc to Advisors Asset Management, Inc.left Dec 31, 2014, registered Jan 23, 2014 (-342 days) · Other
- Chase Investment Services Corp. to Manager Connect, Incleft Jun 5, 2008, registered Jan 13, 2009 (222 days) · Other
- U.S. Bancorp Investments, Inc. to Chase Investment Services Corp.left May 14, 2007, registered May 29, 2007 (15 days) · Other
- Guggenheim Investments to U.S. Bancorp Investments, Inc.left Aug 29, 2006, registered Aug 23, 2006 (-6 days) · Other
- Guggenheim Funds Distributors, LLC to Guggenheim Investmentsleft May 11, 2004, registered Mar 11, 2004 (-61 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address