Richard William Holt
Professional Summary
Richard William Holt, who also goes by Richard Holt, is a registered financial advisor currently at IMA WEALTH located in Wichita, Kansas. Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Richard has worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 87, Series 86, Series 55, Series 7, Series 52, Series 28, Series 4, Series 53 and Series 24...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Richard Holt
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Videos & Posts
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Contact Information
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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
30 years in the financial services industry
Current & Past Employments
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Current Firm
IMA ADVISORY SERVICES, INC. | TRUENORTH, INC. | TRUENORTH SECURITIES, INC. | TRG RETIREMENT PLAN CONSULTANTS | TRG INVESTMENT ADVISORS | SYNTRINSIC | IMA WEALTH, INC. | IMA WEALTH | IMA RETIREMENT | IMA PRIVATE WEALTH
Contact Information
Main Address
1705 17th Street Suite 100, Denver, CO 80202Mailing Address
430 E Douglas Ave Suite 400, Wichita, KS 67202Phone Number
(316) 266-6574Established
Kansas since 06/23/2000Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
50SEC notice filing (21 States and Territories)
Registered to provide investment advisory services in 21 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE IMA FINANCIAL GROUP, INC. F/K/A INSURANCE MANAGEMENT ASSOCIATES, INC. | SHAREHOLDER | — |
| DAVIS, PATRICIA LYNN | SVP, CCO, DIRECTOR | 5613123 |
| HOLT, RICHARD WILLIAM | PRESIDENT, DIRECTOR, CIO, FINOP | 2778485 |
| PAULY, ERIC MICHAEL | GENERAL COUNSEL/SECRETARY | 7719772 |
| POOL, SUSAN LOUISE | SENIOR VICE PRESIDENT/DIRECTOR | 3178683 |
Regulatory Assets Under Management
Total Number of Accounts
1,191AUM (Assets Under Management)
$3,904,795,950Similar Advisors
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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.
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Primary Firm SEC Registration
IMA ADVISORY SERVICES, INC. | TRUENORTH, INC. | TRUENORTH SECURITIES, INC. | TRG RETIREMENT PLAN CONSULTANTS | TRG INVESTMENT ADVISORS | SYNTRINSIC | IMA WEALTH, INC. | IMA WEALTH | IMA RETIREMENT | IMA PRIVATE WEALTH
State Registrations and Notice Filings
(10/9/2025)
(7/1/2016)
(7/1/2016)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 87 — Research Analyst Exam - Part II Regulations Module
Passed Mar 2005About the Series 87 examSeries 55 — Limited Representative-Equity Trader Exam
Passed Jul 2000Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Feb 2018About the Series 28 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Richard William Holt's CRS (Customer Relationship Summary).
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