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RICHMOND INVESTMENT SERVICES LLC

MEQUON, WI · CRD 327451 · IAPD ↗ · 262-242-4200

$453.2MRegulatory AUM
11Advisory reps
22Employees
0Clients
0Planning clients
0Private funds
30States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

53
September 2026 — RICHMOND INVESTMENT SERVICES LLC shrank from 14 to 11 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
71
December 2025 — RICHMOND INVESTMENT SERVICES LLC grew from 10 to 13 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
70
April 2025 — RICHMOND INVESTMENT SERVICES LLC reports 51-100 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
53
September 2024 — RICHMOND INVESTMENT SERVICES LLC shrank from 22 to 11 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
73
July 2024 — RICHMOND INVESTMENT SERVICES LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
78
July 2024 — RICHMOND INVESTMENT SERVICES LLC grew from 11 to 21 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
95
April 2024 — RICHMOND INVESTMENT SERVICES LLC (MEQUON, WI) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 11 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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