Richard Donald Gottfred
Professional Summary
Richard Donald Gottfred is a registered financial advisor currently at WILLIAM BLAIR located in Chicago, Illinois. Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. Richard has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 5, PC, Series 1, Series 10, Series 9 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
56 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
WILLIAM BLAIR | WILLIAM BLAIR & COMPANY L.L.C. | WILLIAM BLAIR & COMPANY
Contact Information
Main Address
The William Blair Building 150 North Riverside, Chicago, IL 60606Mailing Address
The William Blair Building 150 North Riverside, Chicago, IL 60606-1594Phone Number
(312) 236-1600Established
Delaware since 10/30/1995Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
492SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WBC HOLDINGS, L.P. | HOLDING COMPANY | — |
| CITARDI, CISSIE | EXECUTIVE COMMITTEE, GENERAL COUNSEL | 6642613 |
| DEVORE, RYAN JACOB | EXECUTIVE COMMITTEE | 3049671 |
| GLEDHILL, BRENT WALKER | PRESIDENT, CEO | 2921069 |
| KENDALL, ROBERT DANIEL | EXECUTIVE COMMITTEE | 2765873 |
| MCLAUGHLIN, SCOTT THOMAS | EXECUTIVE COMMITTEE | 2481285 |
| RASAVONGXAY, WILLSON B | CHIEF COMPLIANCE OFFICER | 6593731 |
| SATTERFIELD, BETH A | EXECUTIVE COMMITTEE | 6011858 |
| TOLE, STEVEN ROBERT | EXECUTIVE COMMITTEE | 5885283 |
| TRIMBERGER, MICHAEL WILLIAM | EXECUTIVE COMMITTEE, CFO | 5329834 |
| ZIMMER, MATTHEW MONTGOMERY | EXECUTIVE COMMITTEE | 4157826 |
Regulatory Assets Under Management
Total Number of Accounts
39,781AUM (Assets Under Management)
$64,284,844,374Disclosures
Regulatory Event
29Arbitration
2Bond
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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Primary Firm SEC Registration
WILLIAM BLAIR | WILLIAM BLAIR & COMPANY L.L.C. | WILLIAM BLAIR & COMPANY
State Registrations and Notice Filings
(10/7/2020)
(9/21/2012)
(11/28/2000)
(3/24/1984)
(11/28/2000)
(11/29/2017)
(4/24/2026)
(7/30/2018)
(5/9/1983)
(10/11/2007)
(9/10/2008)
(3/20/1973)
(9/20/2006)
(10/25/1981)
(8/19/2019)
(7/12/2018)
(5/15/2012)
(12/11/2025)
(5/23/2016)
(11/28/2000)
(11/22/2006)
(3/5/1983)
(6/5/1997)
(6/18/2012)
(12/1/2025)
(11/29/2000)
(3/29/1994)
(1/30/2026)
(2/2/1999)
(11/28/2000)
(10/5/1988)
(10/26/1984)
(10/1/1998)
(6/2/2020)
(8/15/2018)
(11/28/2000)
(12/21/2017)
(7/22/2021)
(1/24/2019)
(8/23/1983)
(5/8/2012)
(11/29/2000)
(8/24/1990)
(4/23/2026)
(8/26/1983)
(7/30/2018)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 5 — Interest Rate Options Examination
Passed Oct 1981PC — AMEX Put and Call Exam
Passed Jun 1977Series 1 — Registered Representative Examination
Passed Nov 1970Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Oct 1999About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Oct 1999About the Series 9 examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Richard Donald Gottfred's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Donald Gottfred's CRS (Customer Relationship Summary).
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