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
James D Richardson
Feed of 09/14/2026
At current firm
4 y
since Jun 8, 2022
In the industry
23 y
since Nov 13, 2002 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- Gallagher Fiduciary Advisors, LLC institutional currentsince Jun 8, 2022 · Boston, Ma
- Kestra Advisory Services, LLC BD affiliatedMay 2, 2016 to Mar 31, 2022 · Boston, Ma
- Nfp Advisor Services, LLC formerMar 23, 2016 to Sep 22, 2016 · Boston, Ma
- LPL Financial LLC BD affiliatedApr 7, 2015 to Nov 30, 2015 · Boston, Ma
Moves
a registration end followed by a registration begin elsewhere
- Kestra Advisory Services, LLC to Gallagher Fiduciary Advisors, LLCleft Mar 31, 2022, registered Jun 8, 2022 (69 days) · corporate re-registration, not a move
- Nfp Advisor Services, LLC to Kestra Advisory Services, LLCleft Sep 22, 2016, registered May 2, 2016 (-143 days) · corporate re-registration, not a move
- LPL Financial LLC to Nfp Advisor Services, LLCleft Nov 30, 2015, registered Mar 23, 2016 (114 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
- Institutional managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address