Richard A. Miller

AFFINITY CAPITAL, L.P.

San Antonio, TX 78217

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CRD#: 2900460

Professional summary

Richard Alan Miller is a registered financial advisor currently at AFFINITY CAPITAL, L.P. located in San Antonio, Texas.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Richard has worked at 6 firms and has passed the Series 65, Series 66, Series 31 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.

Name of other business: Charles Miller Enterprises Is business Investment related: Investment Account Address of other business: 322 Royal Oaks Drive, San Antonio, TX 78209 Nature of other business: Purpose. The purposes of the Company are to own, operate, invest, maintain, rent, lease, or sell, whether as part or as whole, all or a portion of the Company's assets, and to engage in any other business or activity that now or hereafter may be necessary, incidental, proper, advisable, or convenient to accomplish the foregoing purposes and that is not forbidden by the law of the jurisdiction in which the Company engages in that business; Primarily an Investment Account Your position: Treasurer Title and relationship with other business: Treasurer Start date of relationship: Formation Date: December 20, 2021 Approx. # of hours /month devote to other business: 1 Hour Number of hours devoted to other business during securities trading hours: Zero Briefly describe duties: Assist Sole Member (Charles Miller) on organization's financial aspects, as well as state & federal documentation.

Blog Corner

CRS (Client Relationship Summary) - RIA

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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

May 9, 2014 - Present

AFFINITY CAPITAL, L.P.

Office #1: 8620 N New Braunfels Ave Suite 110, San Antonio, TX 78217

RIA

CRD#: 109118

San Antonio, TX

Past

February 6, 2009 - December 31, 2010

SOUTHWEST WEALTH ADVISORS, LLC

RIA

CRD#: 149042

SAN ANTONIO, TX

Past

February 1, 2008 - January 13, 2010

AFFINITY CAPITAL, L.P.

RIA

CRD#: 109118

HOUSTON, TX

Past

April 6, 2006 - December 31, 2007

AFFINITY CAPITAL, L.P.

RIA

CRD#: 109118

SAN ANTONIO, TX

Past

March 2, 2001 - September 8, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SAN ANTONIO, TX

Past

March 2, 2001 - September 8, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

March 2, 1998 - March 15, 2001

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

January 2, 1998 - March 2, 1998

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

July 15, 1997 - January 2, 1998

RAUSCHER PIERCE REFSNES, INC.

CRD#: 6663

DALLAS, TX

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

Texas
(5/9/2014)

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: 4/16/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 8/5/1997

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 10/15/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/30/1997

General Securities Representative Examination

Current Firm

AFFINITY CAPITAL, L.P.

A MILLER INVESTMENT ADVISORS, INC. | MILLER A INVESTMENT ADVISORS INC | AFFINITY CAPITAL, L.P. | A. MILLER INVESTMENT ADVISORS, L.P.

CRD#: 109118 / SEC#: 801-55519

RIA

Registered Investment Advisory firm - (7/25/2012 Terminated)

Texas

Registered Investment Advisory firm - (7/24/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2929 Allen Parkway Suite 200, Houston, TX 77019

Mailing Address

Phone number

(713) 238-6730

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	181
AUM (Assets Under Management)	$ 99,520,930

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Richard A. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Alan Miller's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOUTHWEST WEALTH ADVISORS, LLC

AFFINITY CAPITAL, L.P.

AFFINITY CAPITAL, L.P.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

RAUSCHER PIERCE REFSNES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/16/2014

Series 66

Date: 8/5/1997

Series 31

Date: 10/15/2002

Series 7

Date: 6/30/1997

Current Firm

AFFINITY CAPITAL, L.P.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

AFFINITY CAPITAL, L.P.

TRUST BUT VERIFY

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