DICK RIVERA & ASSOCIATES
DICK RIVERA & ASSOCIATES, LLC Legal Name
Adviser information for DICK RIVERA & ASSOCIATES last updated from Form ADV on February 22nd, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 275 | $144.2M |
| Non-Discretionary | 0 | $0 |
| Total | 275 | $144.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 24 | $12.4M |
| HNW Individuals | 47 | $131.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses12B-1 |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-112979 |
|---|---|
| SEC ERA File Number | 801-112979 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 114409 |
| Legal Entity Identifier | None |
Principal Office
5 PORTOFINO DR.SUITE 1803
PENSACOLA BEACH
FL
United States
Monday - Friday, BY APPOINTMENT ONLY
Tel: 972-380-9550, Fax: 972-380-0999
Chief Compliance Officer
RICHARD RIVERA
MANAGER
5 PORTOFINO DR.
SUITE 1803
PENSACOLA BEACH
FL
United States
Tel:
972-380-9550
Fax:
972-380-0999
Regulatory Contact
JULIA WHITLEY
INVESTMENT ADVISER REPRESENTATIVE
5 PORTOFINO DR.
SUITE 1803
PENSACOLA BEACH
FL
United States
Tel:
972-380-9550
Fax:
972-380-0999
J*******@*********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| RIVERA, RICHARD, THOMAS | Individual | – | MEMBER AND CCO | 10/1986 | > 75% |