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RM

Richard W. Matcham

UNITED CAPITAL FINANCIAL ADVISORS
PALM DESERT, CA 92211
Some features on this profile are disabled
CRD#: 3232297
RM

Professional summary

Richard Wayne Matcham is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in Palm Desert, California.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Richard has worked at 6 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

top-8-questions

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 Wayne Matcham'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 16, 2017 - Present

UNITED CAPITAL FINANCIAL ADVISORS

Office #1: 36921 Cook St Ste 101, Palm Desert, CA 92211
RIA
CRD#: 134600
PALM DESERT, CA
Past

November 8, 2012 - June 22, 2017

LPL FINANCIAL LLC

BD
CRD#: 6413
PALM DESERT, CA
Past

September 21, 2012 - June 22, 2017

LPL FINANCIAL LLC

RIA
CRD#: 6413
PALM DESERT, CA
Past

May 5, 2008 - March 5, 2014

SILICON VALLEY CAPITAL PARTNERS, L.P.

RIA
CRD#: 125114
SAN JOSE, CA
Past

January 10, 2005 - August 31, 2007

TRIAD ADVISORS LLC

BD
CRD#: 25803
SAN JOSE, CA
Past

December 5, 2002 - July 22, 2003

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

January 5, 2001 - July 22, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
CAMPBELL, CA
Past

December 13, 2000 - July 22, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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".
UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT

CRD#: 134600 / SEC#: 801-64376

RIA
Registered Investment Advisory firm - (6/9/2005 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
California
(8/16/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 1/3/2013
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 12/30/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/22/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/7/2012
General Securities Representative Examination

Current Firm

UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT

CRD#: 134600 / SEC#: 801-64376

RIA
Registered Investment Advisory firm - (6/9/2005 Approved)
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Contact information

Main Address
125 E John Carpenter Frwy Suite 1300, Irving, TX 75062
Mailing Address
Phone number
(972) 822-2055
Established
Firm type
Fiscal year end
# of Employees
271

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

UNITED CAPITAL FINANCIAL ADVISORS WRAP FEE PROGRAM BROCHURE (3/28/2025)
UNITED CAPITAL FINANCIAL ADVISORS ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts41,738
AUM (Assets Under Management)$ 17,211,052,120

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/01/2024
Cover Page
Report
10/30/2023
Cover Page
Report
01/26/2023
Cover Page
Report

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.

Company Information

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600Palm Desert, CA 92211

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