Michael Richardson

RICHARDSON CAPITAL MANAGEMENT

Menomonee Falls, WI 53051

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CRD#: 1294976

Professional summary

Michael Richardson, who also goes by Mike Richardson, is a registered financial advisor currently at RICHARDSON CAPITAL MANAGEMENT, LLC located in Menomonee Falls, Wisconsin.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Michael has worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Richardson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

RICHARDSON FINANCIAL GROUP INVESTMENT RELATED - NO W134 N8688 EXECUTIVE PARKWAY, MENOMONEE FALLS, WI 53051 INSURANCE SALES PRESIDENT/OWNER START DATE - 4/1969 HOURS - 40 + PER WEEK SECURITY TRADING HOURS - ALL DUTIES TO OTHER BUSINESS - INSURANCE SALES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Richardson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 5, 2007 - Present

RICHARDSON CAPITAL MANAGEMENT, LLC

Office #1: W134 N8688 Executive Parkway, Menomonee Falls, WI 53051

RIA

CRD#: 130985

Menomonee Falls, WI

Past

April 28, 1999 - November 6, 2007

FIRST HEARTLAND CAPITAL, INC.

CRD#: 32460

MENOMONEE FALLS, WI

Past

March 22, 1995 - May 4, 1999

HOBERT & SVOBODA, INC.

CRD#: 25388

BROOKFIELD, WI

Past

April 2, 1993 - September 23, 1994

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RICHARDSON CAPITAL MANAGEMENT, LLC

CRD#: 130985 / SEC#: 801-63149

RIA

Registered Investment Advisory firm - (5/18/2004 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Wisconsin
(11/5/2007)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/15/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/1/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 4/1/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RICHARDSON CAPITAL MANAGEMENT, LLC

CRD#: 130985 / SEC#: 801-63149

RIA

Registered Investment Advisory firm - (5/18/2004 Approved)

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Contact information

Main Address

W134 N8688 Executive Parkway, Menomonee Falls, WI 53051

Mailing Address

Phone number

(262) 255-4100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/24/2025)

Regulatory assets under management

Total Number of Accounts	233
AUM (Assets Under Management)	$ 526,467,728

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/02/2025	Cover Page	Report
10/18/2024	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Michael Richardson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Richardson's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST HEARTLAND CAPITAL, INC.

HOBERT & SVOBODA, INC.

JOHN HANCOCK DISTRIBUTORS LLC

Primary Firm SEC Registration

RICHARDSON CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/15/2007

Series 63

Date: 4/1/1993

Series 6

Date: 4/1/1993

Current Firm

RICHARDSON CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RICHARDSON CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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