Richard T. Davies

SENDERO WEALTH MANAGEMENT

San Antonio, TX 78209

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CRD#: 4242332

Professional summary

Richard Tyler Davies is a registered financial advisor currently at SENDERO WEALTH MANAGEMENT, LLC located in San Antonio, Texas.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Richard has worked at 2 firms and has passed the Series 65, Series 66 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 Tyler Davies'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

July 23, 2015 - Present

SENDERO WEALTH MANAGEMENT, LLC

Office #1: 250 W. Nottingham Suite 300, San Antonio, TX 78209

RIA

CRD#: 145594

San Antonio, TX

Past

November 17, 2000 - August 16, 2005

WADDELL & REED

RIA

CRD#: 866

SAN ANTONIO, TX

Past

October 25, 2000 - August 16, 2005

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

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".

SENDERO WEALTH MANAGEMENT, LLC

E-WEALTH BY SENDERO | SENDERO WEALTH MANAGEMENT, LLC | SENDERO SECURITIES, LLC | EWEALTH BY SENDERO

CRD#: 145594 / SEC#: 801-68572

RIA

Registered Investment Advisory firm - (11/30/2007 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

Texas
(7/23/2015)

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: 7/23/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/16/2000

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 10/24/2000

General Securities Representative Examination

Current Firm

SENDERO WEALTH MANAGEMENT, LLC

E-WEALTH BY SENDERO | SENDERO WEALTH MANAGEMENT, LLC | SENDERO SECURITIES, LLC | EWEALTH BY SENDERO

CRD#: 145594 / SEC#: 801-68572

RIA

Registered Investment Advisory firm - (11/30/2007 Approved)

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Contact information

Main Address

250 W. Nottingham Suite 300, San Antonio, TX 78209

Mailing Address

Phone number

(210) 805-0171

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SENDERO WEALTH - FORM ADV PART 2A BROCHURE - AUGUST 2020 (3/20/2025)

Regulatory assets under management

Total Number of Accounts	1,842
AUM (Assets Under Management)	$ 5,823,154,458

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 T. Davies

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Tyler Davies's CRS (Customer Relationship Summary).

Certified licenses

Experience

SENDERO WEALTH MANAGEMENT, LLC

WADDELL & REED

WADDELL & REED

Primary Firm SEC Registration

SENDERO WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/23/2015

Series 66

Date: 11/16/2000

Series 7

Date: 10/24/2000

Current Firm

SENDERO WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SENDERO WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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