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
William James Riddick
Feed of 09/14/2026
At current firm
5 y
since Jul 19, 2021
In the industry
18 y
since Feb 9, 2008 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
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
- Riddick & Co Entrepreneurial Finance, LLC state registered currentsince Jul 19, 2021 · Palm City, Fl
- Fortitude Advisory Group L.L.C. independent RIAApr 5, 2012 to Aug 12, 2021 · Gig Harbor, Wa
- Dernis Financial unclassifiedJun 29, 2010 to Dec 31, 2011 · Fort Lauderdale, Fl
- Osaic Wealth, Inc. BD affiliatedJun 11, 2010 to Feb 10, 2012 · Ft. Lauderdale, Fl
- Ameriprise Financial Services, LLC national BDFeb 13, 2008 to May 24, 2010 · Palm Beach Gardens, Fl
Moves
a registration end followed by a registration begin elsewhere
- Fortitude Advisory Group L.L.C. to Riddick & Co Entrepreneurial Finance, LLCleft Aug 12, 2021, registered Jul 19, 2021 (-24 days) · RIA to a state-registered adviser
- Osaic Wealth, Inc. to Dernis Financialleft Feb 10, 2012, registered Jun 29, 2010 (-591 days) · Other
- Dernis Financial to Fortitude Advisory Group L.L.C.left Dec 31, 2011, registered Apr 5, 2012 (96 days) · Other
- Ameriprise Financial Services, LLC to Osaic Wealth, Inc.left May 24, 2010, registered Jun 11, 2010 (18 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
- STATE REGISTEREDderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address