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.
Former SEC-registered adviser
Dick Rivera & Associates
Legal name Dick Rivera & Associates, LLC
Latest filing Jan 26, 2026
First filing on the tape Mar 27, 2018 · 21 filings
SEC status approved since Apr 26, 2018
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$0 as of Jan 26, 2026
Mar 12, 2019$114M then
HNW client RAUM$143M as of Mar 5, 2025
Mar 12, 2019$107M then
State-registered IARs (5.B.3)2 as of Jan 26, 2026
Mar 12, 20190 then
Employees (5.A)2 as of Jan 26, 2026
Mar 12, 20192 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jan 26, 2026; every figure names its basis
- RAUM per advisor
- $0derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -100%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- Julia Kay Whitley to United Capital Financial AdvisorsMar 30, 2026 · Other
- Richard Thomas Rivera to United Capital Financial AdvisorsMar 30, 2026 · Other
Joined, latest
- Julia Kay Whitley from Calton & Associates, Inc.Mar 23, 2016 · RIA to RIA
- Richard Thomas Rivera from Momentum Independent Network Inc.Mar 22, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for United Capital Financial AdvisorsMar 30, 2026 · Pensacola Beach, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Thomas Richard Rivera · Member And Ccocontrolsince 10/1986 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Pensacola Beach, Fl · principal | 0 | 0 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 263 to 0Mar 5, 2025 to Jan 26, 2026
- HNW clients · 47.0 to unsetMar 5, 2025 to Jan 26, 2026
- Individual clients · 21.0 to unsetMar 5, 2025 to Jan 26, 2026
- Discretionary RAUM · $155M to $0Mar 5, 2025 to Jan 26, 2026
- HNW RAUM · 142572197.0 to unsetMar 5, 2025 to Jan 26, 2026
- Individual RAUM · 12460810.0 to unsetMar 5, 2025 to Jan 26, 2026
- RAUM · $155M to $0Mar 5, 2025 to Jan 26, 2026
- Accounts · 275 to 263Dec 11, 2024 to Mar 5, 2025
- Individual clients · 24 to 21Dec 11, 2024 to Mar 5, 2025
- Financial planning clients · 0 to 0Dec 11, 2024 to Mar 5, 2025
- Discretionary RAUM · $144M to $155MDec 11, 2024 to Mar 5, 2025
- HNW RAUM · $132M to $143MDec 11, 2024 to Mar 5, 2025
- Individual RAUM · $12.4M to $12.5MDec 11, 2024 to Mar 5, 2025
- RAUM · $144M to $155MDec 11, 2024 to Mar 5, 2025
- Accounts · 271 to 275Oct 2, 2023 to Feb 22, 2024
- HNW clients · 48 to 47Oct 2, 2023 to Feb 22, 2024
- Individual clients · 22 to 24Oct 2, 2023 to Feb 22, 2024
- Discretionary RAUM · $131M to $144MOct 2, 2023 to Feb 22, 2024
- HNW RAUM · $120M to $132MOct 2, 2023 to Feb 22, 2024
- Individual RAUM · $11.2M to $12.4MOct 2, 2023 to Feb 22, 2024
- RAUM · $131M to $144MOct 2, 2023 to Feb 22, 2024
- HQ city · DALLAS to PENSACOLA BEACHFeb 10, 2023 to Oct 2, 2023
- HQ state · TX to FLFeb 10, 2023 to Oct 2, 2023
- Other offices · 2 to 1Feb 10, 2023 to Oct 2, 2023
- Accounts · 70 to 271Feb 25, 2022 to Feb 10, 2023
- HNW clients · 51 to 48Feb 25, 2022 to Feb 10, 2023
- Individual clients · 19 to 22Feb 25, 2022 to Feb 10, 2023
- State-registered IARs · 0 to 2Feb 25, 2022 to Feb 10, 2023
- Discretionary RAUM · $144M to $131MFeb 25, 2022 to Feb 10, 2023
- HNW RAUM · $133M to $120MFeb 25, 2022 to Feb 10, 2023
- Individual RAUM · $10.8M to $11.2MFeb 25, 2022 to Feb 10, 2023
- RAUM · $144M to $131MFeb 25, 2022 to Feb 10, 2023
- Accounts · 262 to 70Apr 16, 2021 to Feb 25, 2022
- Individual clients · 20 to 19Apr 16, 2021 to Feb 25, 2022
- Discretionary RAUM · $128M to $144MApr 16, 2021 to Feb 25, 2022
- HNW RAUM · $117M to $133MApr 16, 2021 to Feb 25, 2022
- Individual RAUM · $11.2M to $10.8MApr 16, 2021 to Feb 25, 2022
- RAUM · $128M to $144MApr 16, 2021 to Feb 25, 2022
- Legal name · RIVERA, RICHARD THOMAS to DICK RIVERA & ASSOCIATES, LLCMar 19, 2021 to Mar 31, 2021
- Succession · true to falseMar 19, 2021 to Mar 31, 2021
Signals
7 dated events
- Dick Rivera & Associates no longer on the SEC adviser roster (last listed 2026-03-02)Apr 1, 2026 · Left the SEC roster · derived
- Julia Kay Whitley left Dick Rivera & Associates for United Capital Financial Advisors (registered 2025-12-03)Mar 30, 2026 · Advisor changed firm · fact
- Richard Thomas Rivera left Dick Rivera & Associates for United Capital Financial Advisors (registered 2025-12-04)Mar 30, 2026 · Advisor changed firm · fact
- 2 advisors left Dick Rivera & Associates (Pensacola Beach, FL) for United Capital Financial Advisors on the same dayMar 30, 2026 · Team lift-out · derived
- Dick Rivera & Associates reported RAUM $0, down 100% from $155.0M (2025-03-05 to 2026-01-26)Jan 26, 2026 · RAUM change · derived
- Dick Rivera & Associates reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 19, 2021 · Succession (Item 4) · fact
- Dick Rivera & Associates filed its initial SEC registration (Form ADV)Mar 27, 2018 · 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026