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 Hansford Dix
Feed of 09/15/2026
At current firm
4 y
since Nov 10, 2021
In the industry
22 y
since May 7, 2004 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
2
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
- Cambridge Investment Research Advisors, Inc. BD affiliated currentsince Nov 10, 2021 · Hunt Valley, Md
- Securities America Advisors, Inc. formerSep 18, 2020 to Nov 10, 2021 · Towson, Md
- The Marshall Financial Group LLC independent RIAMar 1, 2018 to May 31, 2019 · Towson, Md
- Ssn Advisory, Inc. formerDec 7, 2016 to Sep 18, 2020 · Towson, Md
- Hornor, Townsend & Kent, LLC independent RIAJun 13, 2011 to Dec 15, 2016 · Towson, Md
- Esi Financial Advisors independent RIAMay 15, 2007 to Jun 8, 2011 · Timonium, Md
- Msi Financial Services, Inc. formerAug 6, 2004 to May 14, 2007 · Elkridge, Md
- Ameriprise Financial Services, LLC national BDMay 10, 2004 to Jun 25, 2004 · Owing Mills, Md
Moves
a registration end followed by a registration begin elsewhere
- Securities America Advisors, Inc. to Cambridge Investment Research Advisors, Inc.left Nov 10, 2021, registered Nov 10, 2021 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- Ssn Advisory, Inc. to The Marshall Financial Group LLCleft Sep 18, 2020, registered Mar 1, 2018 (-932 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- The Marshall Financial Group LLC to Securities America Advisors, Inc.left May 31, 2019, registered Sep 18, 2020 (476 days) · RIA to affiliated broker-dealer or bank · moved with a team
- Hornor, Townsend & Kent, LLC to Ssn Advisory, Inc.left Dec 15, 2016, registered Dec 7, 2016 (-8 days) · Other · moved with a team
- Esi Financial Advisors to Hornor, Townsend & Kent, LLCleft Jun 8, 2011, registered Jun 13, 2011 (5 days) · Other
- Msi Financial Services, Inc. to Esi Financial Advisorsleft May 14, 2007, registered May 15, 2007 (1 days) · Other
- Ameriprise Financial Services, LLC to Msi Financial Services, Inc.left Jun 25, 2004, registered Aug 6, 2004 (42 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address