Walter E. Richards

CAPITAL RESEARCH ADVISORS

SUWANEE, GA 30024

CRD#: 8240306

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Professional summary

Walter Ernest Richards is a registered financial advisor currently at CAPITAL RESEARCH ADVISORS, LLC located in Suwanee, Georgia.

Walter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2026. Walter has worked at 1 firm and has passed the Series 65 exam.

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 Walter Ernest Richards's 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 23, 2026 - Present

CAPITAL RESEARCH ADVISORS, LLC

Office #1: 3011 Sutton Gate Drive Second Floor, Suite 240, Suwanee, GA 30024

RIA

CRD#: 125621

SUWANEE, GA

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

Georgia
(4/23/2026)

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

IAR

Series 65

Date: 3/9/2026

Uniform Investment Adviser Law Examination

Current Firm

CAPITAL RESEARCH ADVISORS, LLC

CRD#: 125621 / SEC#: 801-65240

RIA

Registered Investment Advisory firm - (8/7/2019 Terminated)

Georgia

Registered Investment Advisory firm - (8/1/2019 Approved)

Texas

Registered Investment Advisory firm - (7/2/2019 Conditional Restricted)

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).

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Contact information

Main Address

3011 Sutton Gate Drive Second Floor, Suite 240, Suwanee, GA 30024

Mailing Address

Phone number

(770) 925-1000

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	225
AUM (Assets Under Management)	$ 78,735,225

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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Walter E. Richards

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Walter Ernest Richards's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL RESEARCH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/9/2026

Current Firm

CAPITAL RESEARCH ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CAPITAL RESEARCH ADVISORS, LLC

TRUST BUT VERIFY

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