Richard J. Lerch

PRUDENT MANAGEMENT ASSOCIATES

Philadelphia, PA 19103

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CRD#: 2561551

Professional summary

Richard Jones Thompson Lerch is a registered financial advisor currently at PRUDENT MANAGEMENT ASSOCIATES located in Philadelphia, Pennsylvania.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Richard has worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Jones Thompson Lerch'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

September 18, 2008 - Present

PRUDENT MANAGEMENT ASSOCIATES

Office #1: 2001 Market Street Suite 3910, Philadelphia, PA 19103

RIA

CRD#: 16691

Philadelphia, PA

Past

July 21, 2010 - June 14, 2012

PRUDENT BROKERAGE ASSOCIATES

CRD#: 33426

PHILADELPHIA, PA

Past

April 2, 2008 - September 9, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

April 11, 2005 - January 14, 2008

HIRTLE, CALLAGHAN & CO., LLC

RIA

CRD#: 105403

WEST CONSHOHOCKEN, PA

Past

September 17, 2004 - April 14, 2005

LEHMAN BROTHERS INC.

RIA

CRD#: 7506

PHILADELPHIA, PA

Past

July 5, 2002 - April 14, 2005

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

July 1, 1998 - February 28, 2001

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

March 22, 1995 - July 1, 1998

FINANCIAL SQUARE PARTNERS

CRD#: 1541

NEW YORK, NY

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".

PRUDENT MANAGEMENT ASSOCIATES

CRD#: 16691 / SEC#: 801-20018

RIA

Registered Investment Advisory firm - (11/4/1983 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

Pennsylvania
(9/18/2008)

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: 10/28/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/2/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/21/1995

General Securities Representative Examination

Current Firm

PRUDENT MANAGEMENT ASSOCIATES

CRD#: 16691 / SEC#: 801-20018

RIA

Registered Investment Advisory firm - (11/4/1983 Approved)

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Contact information

Main Address

2001 Market Street Suite 3910, Philadelphia, PA 19103

Mailing Address

Phone number

(215) 994-1062

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

PRUDENT MANAGEMENT ASSOCIATES - ADV PART 2 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	616
AUM (Assets Under Management)	$ 1,137,447,848

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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Richard J. Lerch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Jones Thompson Lerch's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRUDENT BROKERAGE ASSOCIATES

WELLS FARGO CLEARING SERVICES, LLC

HIRTLE, CALLAGHAN & CO., LLC

LEHMAN BROTHERS INC.

LEHMAN BROTHERS INC.

COWEN AND COMPANY

FINANCIAL SQUARE PARTNERS

Primary Firm SEC Registration

PRUDENT MANAGEMENT ASSOCIATES

State Registrations and Notice Filings

Exams

Series 65

Date: 10/28/2002

Series 63

Date: 10/2/1995

Series 7

Date: 3/21/1995

Current Firm

PRUDENT MANAGEMENT ASSOCIATES

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PRUDENT MANAGEMENT ASSOCIATES

TRUST BUT VERIFY

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