Alden M. Richards

WILLIAM BLAIR

CHARLOTTE, NC 28280

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CRD#: 7393878

Professional summary

Alden Miles Richards, who also goes by Alden Richards, is a registered financial professional currently at WILLIAM BLAIR located in Charlotte, North Carolina.

Alden is registered as a RR (Registered Representative) and started their career in finance in 2021. Alden has worked at 4 firms and has passed the Series 63, Series 79TO and SIE exams.

Aliases

Alden Richards

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) - BD

Click below to view Alden Miles 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

June 23, 2026 - Present

WILLIAM BLAIR

Office #1: 101 South Tryon Street Suite 2000, Charlotte, NC 28280

RIA

CRD#: 1252

CHARLOTTE, NC

Past

January 9, 2026 - May 19, 2026

CAPSTONE PARTNERS

CRD#: 132185

Atlanta, GA

Past

May 24, 2024 - January 14, 2026

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

Atlanta, GA

Past

December 15, 2021 - June 20, 2024

TM CAPITAL LLC

CRD#: 27438

ATLANTA, GA

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".

WILLIAM BLAIR

WILLIAM BLAIR | WILLIAM BLAIR & COMPANY L.L.C. | WILLIAM BLAIR & COMPANY

CRD#: 1252 / SEC#: 801-688, 8-2698

RIA

Registered Investment Advisory firm - SEC (12/24/1947 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(6/23/2026)

North Carolina
(6/23/2026)

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: 2/7/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 12/15/2021

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 6/10/2021

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

WILLIAM BLAIR

WILLIAM BLAIR | WILLIAM BLAIR & COMPANY L.L.C. | WILLIAM BLAIR & COMPANY

CRD#: 1252 / SEC#: 801-688, 8-2698

RIA

Registered Investment Advisory firm - SEC (12/24/1947 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

The William Blair Building 150 North Riverside, Chicago, IL 60606

Mailing Address

The William Blair Building 150 North Riverside, Chicago, IL 60606-1594

Phone number

(312) 236-1600

Established

Delaware since 10/30/1995

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

469

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

WILLIAM BLAIR FORM ADV PART 2A - APPENDIX 1 WRAP BROCHURE (8/14/2025)

WILLIAM BLAIR & COMPANY, L.L.C. FORM ADV 2A BROCHURE (8/14/2025)

WILLIAM BLAIR EQUITY RESEARCH SERVICES FORM ADV 2A (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
WBC HOLDINGS, L.P.	HOLDING COMPANY
CITARDI, CISSIE	EXECUTIVE COMMITTEE, GENERAL COUNSEL	6642613
DEVORE, RYAN JACOB	EXECUTIVE COMMITTEE	3049671
GLEDHILL, BRENT WALKER	PRESIDENT, CEO	2921069
KENDALL, ROBERT DANIEL	EXECUTIVE COMMITTEE	2765873
MCLAUGHLIN, SCOTT THOMAS	EXECUTIVE COMMITTEE	2481285
RASAVONGXAY, WILLSON B	CHIEF COMPLIANCE OFFICER	6593731
SATTERFIELD, BETH A	EXECUTIVE COMMITTEE	6011858
TOLE, STEVEN ROBERT	EXECUTIVE COMMITTEE	5885283
TRIMBERGER, MICHAEL WILLIAM	EXECUTIVE COMMITTEE, CFO	5329834
ZIMMER, MATTHEW MONTGOMERY	EXECUTIVE COMMITTEE	4157826

Regulatory assets under management

Total Number of Accounts	37,973
AUM (Assets Under Management)	$ 58,329,726,421

Disclosures

Regulatory Event	29
Arbitration	2
Bond	1

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

Alden M. Richards

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alden Miles Richards's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPSTONE PARTNERS

JANNEY MONTGOMERY SCOTT LLC

TM CAPITAL LLC

Primary Firm SEC Registration

WILLIAM BLAIR

State Registrations and Notice Filings

Exams

Series 63

Date: 2/7/2022

Series 79TO

Date: 12/15/2021

SIE

Date: 6/10/2021

FINRA

Current Firm

WILLIAM BLAIR

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

WILLIAM BLAIR

TRUST BUT VERIFY

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