Risley H. Sams

RHS FINANCIAL

San Francisco, CA 94114

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CRD#: 4572447

Professional summary

Risley Hollingsworth Sams, CFP®, CPWA®, who also goes by Ernest Risley Sams, is a registered financial advisor currently at RHS FINANCIAL, LLC located in San Francisco, California.

Risley is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Risley has worked at 4 firms and has passed the Series 63, Series 65, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ernest Risley Sams

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.

CALIFORNIA MODERN GALLERY ART SALES PARTNER NUMBER OF HOURS DURING WORK HOURS PER MO. 2 NUMBER OF HOURS DURING NON WORK HOURS 14 POSITION IS NOT A SET TERM AND BEGAN IN SUMMER 2004. 03/14/2011 - THIS WAS CLOSED IN 2007. AS OF 03/14/2011 - PRINCIPAL AT RHS FINANCIAL, AN SEC REGISTERED INVESTMENT ADVISOR STARTED ON 03/13/2009, 50-60 HOURS PER WEEK. Quintessence Capital, LLC; investment related; 201 Mission St. Suite 1875; limited liability company for future mutual fund; CEO; 02/28/2018; 15-20 hrs per month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Risley Hollingsworth Sams'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®

CFP^®

Certified Financial Planner

Start date: 2007

CPWA^®

Certified Private Wealth Advisor

Start date: 2018-07-24

Expire date: 2024-06-30

Experience

Current

March 13, 2009 - Present

RHS FINANCIAL, LLC

Office #1: 4171 24th Street Suite 101, San Francisco, CA 94114

RIA

CRD#: 149435

San Francisco, CA

Past

March 19, 2008 - March 18, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN FRANCISCO, CA

Past

March 19, 2008 - March 18, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SAN FRANCISCO, CA

Past

May 18, 2007 - March 26, 2008

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

SAN FRANCISCO, CA

Past

May 18, 2007 - March 26, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

SAN FRANCISCO, CA

Past

October 16, 2002 - June 9, 2007

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SAN FRANCISCO, CA

Past

September 24, 2002 - June 9, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SAN FRANCISCO, CA

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".

RHS FINANCIAL, LLC

RHS FINANCIAL, LLC | RISLEY H. SAMS

CRD#: 149435 / SEC#: 801-112686

RIA

Registered Investment Advisory firm - (3/23/2018 Approved)

California

Registered Investment Advisory firm - (4/29/2018 Terminated)

Texas

Registered Investment Advisory firm - (3/30/2018 Terminated)

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).

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
(3/13/2009)

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

Series 63

Date: 10/30/2002

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/11/2002

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 31

Date: 7/29/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/23/2002

General Securities Representative Examination

Current Firm

RHS FINANCIAL, LLC

RHS FINANCIAL, LLC | RISLEY H. SAMS

CRD#: 149435 / SEC#: 801-112686

RIA

Registered Investment Advisory firm - (3/23/2018 Approved)

California

Registered Investment Advisory firm - (4/29/2018 Terminated)

Texas

Registered Investment Advisory firm - (3/30/2018 Terminated)

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Contact information

Main Address

4171 24th Street Suite 101, San Francisco, CA 94114

Mailing Address

Phone number

(415) 495-2900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (3/31/2025)

ADV PART 2B - COLBY (3/31/2025)

ADV PART 2B - RISLEY (3/31/2025)

Regulatory assets under management

Total Number of Accounts	173
AUM (Assets Under Management)	$ 234,485,352

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

Risley H. Sams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Risley Hollingsworth Sams's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

RHS FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/30/2002

Series 65

Date: 10/11/2002

Series 31

Date: 7/29/2005

Series 7

Date: 9/23/2002

Current Firm

RHS FINANCIAL, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RHS FINANCIAL, LLC

TRUST BUT VERIFY

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