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 Read Applegate
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as Rick Applegate
At current firm
8 y
since Jan 10, 2018
In the industry
43 y
since Aug 15, 1983 (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
- D.B. Root & Company, LLC independent RIA currentsince Jan 10, 2018 · Pittsburgh, Pa
- R. Applegate & Associates LLC formerJan 8, 2018 to Mar 14, 2019 · Pittsburgh, Pa
- Cantor Fitzgerald Wealth Partners, LLC formerApr 2, 2015 to Jan 4, 2018 · Pittsburgh, Pa
- Essex National Securities, Inc. formerJun 7, 2010 to Apr 9, 2014 · Wexford, Pa
- Uvest Financial Services Group, Inc. unclassifiedJun 26, 2002 to Jun 2, 2010 · Indiana, Pa
- First Commonwealth Financial Advisors, Inc. formerJan 31, 1997 to Nov 12, 2014 · Wexford, Pa
Moves
a registration end followed by a registration begin elsewhere
- R. Applegate & Associates LLC to D.B. Root & Company, LLCleft Mar 14, 2019, registered Jan 10, 2018 (-428 days) · Other
- Cantor Fitzgerald Wealth Partners, LLC to R. Applegate & Associates LLCleft Jan 4, 2018, registered Jan 8, 2018 (4 days) · Other · moved with a team
- First Commonwealth Financial Advisors, Inc. to Uvest Financial Services Group, Inc.left Nov 12, 2014, registered Jun 26, 2002 (-4522 days) · Other
- Essex National Securities, Inc. to Cantor Fitzgerald Wealth Partners, LLCleft Apr 9, 2014, registered Apr 2, 2015 (358 days) · Other
- Uvest Financial Services Group, Inc. to Essex National Securities, Inc.left Jun 2, 2010, registered Jun 7, 2010 (5 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
- Independent wealth managerderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address