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DICK RIVERA & ASSOCIATES

PENSACOLA BEACH, FL · CRD 114409 · IAPD ↗ · 972-380-9550

$0Regulatory AUM
2Advisory reps
2Employees
0Clients
0Planning clients
0Private funds
3States
2Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
April 2026 — DICK RIVERA & ASSOCIATES (PENSACOLA BEACH, FL) left the SEC roster (was $0 RAUM, 2 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
50
January 2025 — DICK RIVERA & ASSOCIATES's Item 11 disclosure-reporting entries rose by 2 (0 -> 2).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
44
July 2024 — DICK RIVERA & ASSOCIATES notice-filed in AL, TN.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.