Theodore S. Rich

RIVERTREE ADVISORS

Winter Park, FL 32789

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CRD#: 2592493

Professional summary

Theodore Spencer Rich, who also goes by Ted Rich, is a registered financial advisor currently at RIVERTREE ADVISORS, LLC located in Winter Park, Florida.

Theodore is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Theodore 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

Ted Rich

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 Theodore Spencer Rich'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

August 5, 2013 - Present

RIVERTREE ADVISORS, LLC

Office #1: 941 West Morse Boulevard Suite 100, Winter Park, FL 32789

RIA

CRD#: 168065

Winter Park, FL

Past

February 6, 2003 - October 9, 2013

PRINCIPIUM INVESTMENTS LLC

RIA

CRD#: 124989

WINTER PARK, FL

Past

February 25, 2002 - May 19, 2003

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

July 9, 1998 - March 8, 2002

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

April 20, 1998 - August 5, 1998

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

January 12, 1998 - April 21, 1998

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

September 28, 1995 - January 9, 1998

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

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".

RIVERTREE ADVISORS, LLC

CRD#: 168065 / SEC#: 801-78200

RIA

Registered Investment Advisory firm - (6/17/2013 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

Colorado
(8/5/2013)

IAR

Florida
(9/19/2013)

IAR

Texas
(11/20/2024)

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 65

Date: 8/4/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/18/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/27/1995

General Securities Representative Examination

Current Firm

RIVERTREE ADVISORS, LLC

CRD#: 168065 / SEC#: 801-78200

RIA

Registered Investment Advisory firm - (6/17/2013 Approved)

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Contact information

Main Address

941 West Morse Boulevard Suite 100, Winter Park, FL 32789

Mailing Address

Phone number

(407) 599-1104

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RIVERTREE ADVISORS, LLC DISCLOSURE BROCHURE (3/14/2025)

Regulatory assets under management

Total Number of Accounts	346
AUM (Assets Under Management)	$ 177,409,823

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

Theodore S. Rich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Theodore Spencer Rich's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRINCIPIUM INVESTMENTS LLC

OSAIC FS, INC.

ROBERT W. BAIRD & CO. INCORPORATED

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

SII INVESTMENTS, INC.

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

RIVERTREE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/4/1998

Series 63

Date: 9/18/1995

Series 7

Date: 9/27/1995

Current Firm

RIVERTREE ADVISORS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RIVERTREE ADVISORS, LLC

TRUST BUT VERIFY

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