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 James London
Certified Financial Planner
Feed of 09/14/2026
Also filed as Richard James London
At current firm
3 y
since Apr 26, 2023
In the industry
20 y
since Sep 5, 2006 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
12
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Lasalle St. Investment Advisors, L.L.C. BD affiliated currentsince Apr 26, 2023 · Las Vegas, Nv
- Securities America Advisors, Inc. formerMar 5, 2020 to May 9, 2023 · Las Vegas, Nv
- Cooper Mcmanus independent RIAOct 3, 2014 to Feb 25, 2020 · Las Vegas, Nv
- LPL Financial LLC BD affiliatedMay 16, 2013 to Oct 17, 2014 · Henderson, Nv
- Zions Capital Advisors, Inc. institutionalJan 11, 2008 to May 16, 2013 · Las Vegas, Nv
- Wells Fargo Investments, LLC unclassifiedSep 6, 2006 to Sep 5, 2007 · Las Vegas, Nv
Moves
a registration end followed by a registration begin elsewhere
- Securities America Advisors, Inc. to Lasalle St. Investment Advisors, L.L.C.left May 9, 2023, registered Apr 26, 2023 (-13 days) · Affiliated broker-dealer or bank to another · moved with a team
- Cooper Mcmanus to Securities America Advisors, Inc.left Feb 25, 2020, registered Mar 5, 2020 (9 days) · RIA to affiliated broker-dealer or bank · moved with a team
- LPL Financial LLC to Cooper Mcmanusleft Oct 17, 2014, registered Oct 3, 2014 (-14 days) · Other
- Zions Capital Advisors, Inc. to LPL Financial LLCleft May 16, 2013, registered May 16, 2013 (0 days) · Other
- Wells Fargo Investments, LLC to Zions Capital Advisors, Inc.left Sep 5, 2007, registered Jan 11, 2008 (128 days) · Other
Signals
- Richard James London left Securities America Advisors, Inc. for Lasalle St. Investment Advisors, L.L.C. (registered 2023-04-26)May 9, 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
- 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