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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

P••• R•••••••

H•••• • A••••••••• W••••• M••••••••• L••independent RIACary, NcIA-onlyIAPD 4552309

Certified Financial Planner

Feed of 09/14/2026

Also filed as Paul Michael Richards

At current firm

3 y

since Nov 16, 2022

In the industry

14 y

since Jun 21, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

H•••• • A••••••••• W••••• M••••••••• L•• independent RIA current
since Nov 16, 2022 · Cary, Nc
W••••••••• P•••••••• L•• independent RIA
Oct 14, 2020 to Jan 4, 2023 · Cary, Nc
A••••••••• F•••••••• S•••••••• L•• national BD
Feb 28, 2020 to Oct 12, 2020 · Cary, Nc
E••••• J•••• national BD
Nov 28, 2016 to Mar 3, 2020 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

W••••••••• P•••••••• L•• to H•••• • A••••••••• W••••• M••••••••• L••
left Jan 4, 2023, registered Nov 16, 2022 (-49 days) · RIA to a newly registered adviser · moved with a team
A••••••••• F•••••••• S•••••••• L•• to W••••••••• P•••••••• L••
left Oct 12, 2020, registered Oct 14, 2020 (2 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
E••••• J•••• to A••••••••• F•••••••• S•••••••• L••
left Mar 3, 2020, registered Feb 28, 2020 (-4 days) · Affiliated broker-dealer or bank to another

Signals

P••• R••••••• left W••••••••• P•••••••• L•• for H•••• • A••••••••• W••••• M••••••••• L•• (registered 2022-11-16)
Jan 4, 2023 · 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: Independent wealth managerderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address