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.
SEC-registered adviser
Richard Brothers, Financial Advisors
Legal name Allegiance Financial Group, Inc.
Latest filing Mar 26, 2026
First filing on the tape Mar 29, 2012 · 18 filings
SEC status approved since Nov 18, 2021
RAUM
$181M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
99%
$179M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$30.1M
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$181M as of Mar 26, 2026
Mar 29, 2012$106M then
HNW client RAUM$140M as of Mar 26, 2026
Mar 30, 2022$51.9M then
State-registered IARs (5.B.3)6 as of Mar 26, 2026
Mar 29, 20120 then
Employees (5.A)10 as of Mar 26, 2026
Mar 25, 20137 then
Private funds: no history
RAUM +24% over the last fiscal year+20% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $30.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $417,176derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$140M78%
- Individuals$39.3M22%
- Charitable organizations$1.2M0.7%
- Corporations and businesses$2,4310.0%
- Individual clients
- 119reported
- HNW clients
- 54reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 433reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=7.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Adam Mattson to Strategic Advisers LLCMar 13, 2017 · Other
- Ariel Moshe Serber to Clutch Capital Management, LLCApr 1, 2010 · Other
Joined, latest
- Adam Mattson from Columbia Management Investment Advisers, LLCNov 15, 2016 · Other
- Ariel Moshe Serber from Saxony Capital Management, LLCSep 3, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Patrick Neal Richard · Managing Directorcontrolsince 04/1997 · owns 50% to 75%
- Jon Randall Richard · President & Chief Compliance Officercontrolsince 09/1996 · owns 50% to 75%
Related persons
Schedule D 7.A
- Afx Global Advisors, Inc.real estaten
- Allegiance Capital, L.L.C.broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| South Portland, Me · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 403 to 433Mar 20, 2025 to Mar 26, 2026
- BD registered reps · 5 to 7Mar 20, 2025 to Mar 26, 2026
- HNW clients · 42 to 54Mar 20, 2025 to Mar 26, 2026
- Individual clients · 118 to 119Mar 20, 2025 to Mar 26, 2026
- Discretionary RAUM · $142M to $175MMar 20, 2025 to Mar 26, 2026
- HNW RAUM · $101M to $140MMar 20, 2025 to Mar 26, 2026
- Individual RAUM · $40.5M to $39.3MMar 20, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $4.3M to $6.1MMar 20, 2025 to Mar 26, 2026
- Pension RAUM · 2884284.0 to unsetMar 20, 2025 to Mar 26, 2026
- RAUM · $146M to $181MMar 20, 2025 to Mar 26, 2026
- Accounts · 433 to 403Mar 27, 2024 to Mar 20, 2025
- Advisory employees · 7 to 6Mar 27, 2024 to Mar 20, 2025
- BD registered reps · 4 to 5Mar 27, 2024 to Mar 20, 2025
- HNW clients · 44 to 42Mar 27, 2024 to Mar 20, 2025
- Individual clients · 132 to 118Mar 27, 2024 to Mar 20, 2025
- Financial planning clients · 51-100 to 101-250Mar 27, 2024 to Mar 20, 2025
- State-registered IARs · 4 to 6Mar 27, 2024 to Mar 20, 2025
- Discretionary RAUM · $126M to $142MMar 27, 2024 to Mar 20, 2025
- HNW RAUM · $87.9M to $101MMar 27, 2024 to Mar 20, 2025
- Individual RAUM · $37.6M to $40.5MMar 27, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $3.9M to $4.3MMar 27, 2024 to Mar 20, 2025
- Pension RAUM · $2.6M to $2.9MMar 27, 2024 to Mar 20, 2025
- RAUM · $130M to $146MMar 27, 2024 to Mar 20, 2025
- Accounts · 412 to 433Mar 30, 2023 to Mar 27, 2024
- HNW clients · 13 to 44Mar 30, 2023 to Mar 27, 2024
- Individual clients · 158 to 132Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $101M to $126MMar 30, 2023 to Mar 27, 2024
- HNW RAUM · $39.9M to $87.9MMar 30, 2023 to Mar 27, 2024
- Individual RAUM · $59.3M to $37.6MMar 30, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $2.9M to $3.9MMar 30, 2023 to Mar 27, 2024
- Pension RAUM · $2.1M to $2.6MMar 30, 2023 to Mar 27, 2024
- RAUM · $104M to $130MMar 30, 2023 to Mar 27, 2024
- Accounts · 614 to 412Mar 30, 2022 to Mar 30, 2023
- BD registered reps · 5 to 4Mar 30, 2022 to Mar 30, 2023
- HNW clients · 17 to 13Mar 30, 2022 to Mar 30, 2023
- Individual clients · 168 to 158Mar 30, 2022 to Mar 30, 2023
- Employees · 8 to 10Mar 30, 2022 to Mar 30, 2023
- State-registered IARs · 5 to 4Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $130M to $101MMar 30, 2022 to Mar 30, 2023
- HNW RAUM · $51.9M to $39.9MMar 30, 2022 to Mar 30, 2023
Signals
1 dated events
- Richard Brothers, Financial Advisors filed its initial SEC registration (Form ADV)Oct 19, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@richardbrothersfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- tmetevier@richardbrothersfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- kdesjardins@richardbrothersfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 207-879-2352reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/RICHARD-BROTHERS-FINANCIAL-ADVISORSreportedpublic record, Form ADV, Sep 17, 2026
- Website
- RICHARDBROTHERSFINANCIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 207-879-2352reportedpublic record, Form ADV, Mar 26, 2026
- Contact form
- richardbrothersfinancial.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $30.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026