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 Allan Walsh
Feed of 09/14/2026
Also filed as Dick Walsh
At current firm
7 y
since Oct 31, 2018
In the industry
40 y
since Jul 15, 1986 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Raymond James & Associates, Inc. national BD currentsince Oct 31, 2018 · Colorado Springs, Co
- Stifel, Nicolaus & Company, Incorporated national BDNov 10, 2011 to Nov 29, 2018 · Colorado Springs, Co
- Sanders Morris LLC independent RIADec 20, 2006 to Nov 10, 2011 · Colorado Springs, Co
- Smh Capital Advisors LLC institutionalMar 11, 2005 to Jul 14, 2006 · Colorado Springs, Co
- Cascade Investment Group, Inc. independent RIAMay 27, 2003 to Mar 11, 2005 · Colorado Springs, Co
- Citigroup Global Markets Inc. BD affiliatedDec 1, 1997 to Apr 10, 2003 · Englewood, Co
Moves
a registration end followed by a registration begin elsewhere
- Stifel, Nicolaus & Company, Incorporated to Raymond James & Associates, Inc.left Nov 29, 2018, registered Oct 31, 2018 (-29 days) · Affiliated broker-dealer or bank to another · moved with a team
- Sanders Morris LLC to Stifel, Nicolaus & Company, Incorporatedleft Nov 10, 2011, registered Nov 10, 2011 (0 days) · Other
- Smh Capital Advisors LLC to Sanders Morris LLCleft Jul 14, 2006, registered Dec 20, 2006 (159 days) · Other
- Cascade Investment Group, Inc. to Smh Capital Advisors LLCleft Mar 11, 2005, registered Mar 11, 2005 (0 days) · Other
- Citigroup Global Markets Inc. to Cascade Investment Group, Inc.left Apr 10, 2003, registered May 27, 2003 (47 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
- National broker-dealer RIAderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address