Neal A. Richards

AXIOM WEALTH STRATEGIES

BEND, OR 97702

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CRD#: 5426580

Professional summary

Neal Albert Richards is a registered financial advisor currently at AXIOM WEALTH STRATEGIES, LLC located in Bend, Oregon.

Neal is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Neal has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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 the other business - Axiom Tax Strategies Whether the business is investment-related - No Address of the other business: Same as Axiom Wealth Strategies, LLC Nature of the other business : tax Title or relationship with the business - Owner/100% Start date of the relationship: October 2025 Approximate number of hours per month devoted to the business: 5 Hours per month during securities trading hours: 0 Brief description of your duties: oversight and business execution.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neal Albert Richards'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

April 22, 2021 - Present

AXIOM WEALTH STRATEGIES, LLC

Office #1: 243 Sw Scalehouse Loop Suite 5b, Bend, OR 97702

RIA

CRD#: 313124

BEND, OR

Past

April 21, 2017 - December 31, 2021

CASCADE FINANCIAL STRATEGIES

RIA

CRD#: 166610

BEND, OR

Past

August 10, 2012 - April 24, 2017

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

BEND, OR

Past

July 20, 2012 - April 24, 2017

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

BEND, OR

Past

April 2, 2008 - March 1, 2012

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

BEND, OR

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".

AXIOM WEALTH STRATEGIES, LLC

CRD#: 313124 / SEC#: 801-132515

RIA

Registered Investment Advisory firm - (4/23/2025 Approved)

Idaho

Registered Investment Advisory firm - (5/20/2025 Terminated)

Texas

Registered Investment Advisory firm - (5/16/2025 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

Idaho
(10/18/2021)

IAR

Oregon
(10/8/2021)

IAR

Texas
(4/22/2021)

IAR

Washington
(10/14/2025)

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 66

Date: 8/9/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/2/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/24/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/19/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/1/2008

Investment Company Products/Variable Contracts Representative Examination

Current Firm

AXIOM WEALTH STRATEGIES, LLC

CRD#: 313124 / SEC#: 801-132515

RIA

Registered Investment Advisory firm - (4/23/2025 Approved)

Idaho

Registered Investment Advisory firm - (5/20/2025 Terminated)

Texas

Registered Investment Advisory firm - (5/16/2025 Terminated)

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Contact information

Main Address

243 Sw Scalehouse Loop Suite 5b, Bend, OR 97702

Mailing Address

Phone number

(541) 389-7777

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NEAL RICHARDS ADV PART 2B (3/24/2025)

GEORGE LUKE ADV PART 2B (3/24/2025)

GRANT FINTER ADV PART 2B (3/24/2025)

AXIOM ADV PART 2A (3/24/2025)

Regulatory assets under management

Total Number of Accounts	375
AUM (Assets Under Management)	$ 100,084,739

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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Firm Stability Insights

Neal A. Richards

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neal Albert Richards's CRS (Customer Relationship Summary).

Certified licenses

Experience

CASCADE FINANCIAL STRATEGIES

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

AXIOM WEALTH STRATEGIES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/9/2012

Series 63

Date: 6/2/2008

SIE

Date: 4/24/2017

Series 7

Date: 7/19/2012

Series 6

Date: 4/1/2008

Current Firm

AXIOM WEALTH STRATEGIES, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AXIOM WEALTH STRATEGIES, LLC

TRUST BUT VERIFY

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