Ross W. Richardson

APELLA WEALTH

Tomball, TX

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CRD#: 1834019

Professional summary

Ross William Richardson, CFP®, CPWA®, who also goes by Ross William Richardson Mr., is a registered financial advisor currently at APELLA WEALTH located in Tomball, Texas.

Ross is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Ross has worked at 7 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ross William Richardson Mr.

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.

Effective May of 2021, Mr. Richardson is an instructor for Dobbs Education, LLC which provides the coursework and content for Yale School of Management's Certified Private Wealth Advisor Certification (CPWA) program. This business is strictly educational and not investment-related. The address for Dobbs Education, LLC is 609 SW 8th St., Suite 600, Bentonville, Arkansas 72712-8706. Mr. Richardson is a Course Instructor for Dobbs serving in a non-employee contracted capacity. Mr. Richardson assists students enrolled in Yale's program with course content questions, study guidance and general support questions. He spends approximately 32-40 hours per month in this position, the hours of which are flexible and variable with approximately half of the time commitment occurring during securities trading hours..

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ross William 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®

CFP^®

Certified Financial Planner

Start date: 1987

CPWA^®

Certified Private Wealth Advisor

CRD#: 2225

APELLA CAPITAL | APELLA WEALTH | APELLA CAPITAL, LLC

CRD#: 171106 / SEC#: 801-79650

RIA

Registered Investment Advisory firm - (4/29/2014 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

Connecticut
(10/10/2024)

IAR

Texas
(10/10/2024)

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 66

Date: 2/22/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/23/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/4/2001

General Securities Representative Examination

Current Firm

APELLA WEALTH

APELLA CAPITAL | APELLA WEALTH | APELLA CAPITAL, LLC

CRD#: 171106 / SEC#: 801-79650

RIA

Registered Investment Advisory firm - (4/29/2014 Approved)

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Contact information

Main Address

65 Memorial Drive Suite C340, West Hartford, CT 06107

Mailing Address

Phone number

(860) 785-2260

Established

Firm type

Fiscal year end

# of Employees

140

SEC notice filing (44 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APELLA WEALTH PART 2A OCTOBER 2025 (10/28/2025)

Regulatory assets under management

Total Number of Accounts	19,172
AUM (Assets Under Management)	$ 7,953,076,688

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/24/2025	Cover Page	Report
03/29/2024	Cover Page	Report
04/30/2023	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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Firm Stability Insights

Ross W. Richardson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

PEMBROKE ADVISORS, INC.

PEMBROKE ADVISORS, INC.

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

OSAIC WEALTH, INC.

SUNAMERICA SECURITIES, INC.

ASSOCIATED SECURITIES CORP.

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

Primary Firm SEC Registration

APELLA WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 2/22/2001

Series 63

Date: 6/23/1988

Series 7

Date: 1/4/2001

Current Firm

APELLA WEALTH

Contact information

SEC notice filing (44 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

APELLA WEALTH

TRUST BUT VERIFY

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