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 Zachary Seitz
Feed of 09/14/2026
Also filed as Richard Z Seitz
At current firm
3 y
since Jan 17, 2023
In the industry
20 y
since May 2, 2006 (earliest exam, job or registration)
Prior registered firms
7
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
- Orion Portfolio Solutions, LLC BD affiliated currentsince Jan 17, 2023 · Omaha, Ne
- Orion Portfolio Solutions, LLC formerJan 23, 2020 to Jan 6, 2023 · Trabuco Canyon, Ca
- Orion Portfolio Solutions, LLC formerFeb 21, 2019 to Dec 31, 2019 · Torrance, Ca
- Assetmark, Inc. BD affiliatedNov 2, 2012 to Nov 26, 2018 · Concord, Ca
- LPL Financial LLC BD affiliatedJan 4, 2012 to Oct 12, 2012 · Huntington Beach, Ca
- Cuna Brokerage Services, Inc. formerMar 26, 2009 to Dec 31, 2011 · Huntington Beach, Ca
- Nrp Advisors, Inc. unclassifiedApr 23, 2008 to Sep 9, 2008 · Malibu, Ca
- Banc Of America Investment Services, Inc. unclassifiedDec 11, 2006 to Mar 31, 2008 · Gardena, Ca
Moves
a registration end followed by a registration begin elsewhere
- Orion Portfolio Solutions, LLC to Orion Portfolio Solutions, LLCleft Jan 6, 2023, registered Jan 17, 2023 (11 days) · corporate re-registration, not a move
- Assetmark, Inc. to Orion Portfolio Solutions, LLCleft Nov 26, 2018, registered Feb 21, 2019 (87 days) · Affiliated broker-dealer or bank to independent RIA
- LPL Financial LLC to Assetmark, Inc.left Oct 12, 2012, registered Nov 2, 2012 (21 days) · Other
- Cuna Brokerage Services, Inc. to LPL Financial LLCleft Dec 31, 2011, registered Jan 4, 2012 (4 days) · Other
- Nrp Advisors, Inc. to Cuna Brokerage Services, Inc.left Sep 9, 2008, registered Mar 26, 2009 (198 days) · Other
- Banc Of America Investment Services, Inc. to Nrp Advisors, Inc.left Mar 31, 2008, registered Apr 23, 2008 (23 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address