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LORD AND RICHARDS

HIGHLANDS RANCH, CO · CRD 328907 · IAPD ↗ · 720-214-6801

$128.8MRegulatory AUM
8Advisory reps
18Employees
0Clients
101-250Planning clients
0Private funds
4States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

50
February 2025 — LORD AND RICHARDS added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
70
August 2024 — LORD AND RICHARDS's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
60
July 2024 — LORD AND RICHARDS reported RAUM up 27% ($75.4M -> $95.5M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
67
July 2024 — LORD AND RICHARDS grew from 5 to 7 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
42
April 2024 — LORD AND RICHARDS notice-filed in TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
75
April 2024 — LORD AND RICHARDS now offers financial planning (Item 5G(1)).
Firm now reports offering financial planning (Item 5G(1)). They need planning software.
Financial planning softwareCRM
44
February 2024 — LORD AND RICHARDS notice-filed in FL, NE.
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.