Richey Advisors, Inc.
SEC-registered
Wealth Manager · Small ($100M–$1B)
CRD 277137
· SEC file 801-131970
· Placentia, CA
· WWW.LINKEDIN.COM
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ADV data as of Apr 23, 2026
- Regulatory AUM
- $160M
- Discretionary
- $160M
- Clients
- 247
- Avg AUM / client
- $646K
- Accounts
- 562
- Employees
- 5
AUM over time
$108M
$160M
Jan 2025
Feb 2026
Annual snapshots from Form ADV filings · as of Apr 23, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 210 | $74.9M | 46.9% |
| High net worth individuals | 37 | $81.1M | 50.8% |
| Charitable organizations | Fewer than 5 clients | $3.7M | 2.32% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Terri Grassi | Registered representative | Oct 2015 (11y) | ||
| James Patrick Ripley | Registered representative | CFP | Feb 2020 (6y) | |
| Kate Gregory Walker | Registered representative | CFP | Oct 2020 (6y) | |
| Angel Mendez | Registered representative | CFP | Aug 2023 (3y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/23/2026 | 948 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $79.4M (50% of AUM) Apr 2026
- SEI Private Trust $69.8M (44% of AUM) Apr 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Apr 23, 2026.
View current Form ADV (SEC/IAPD) ↗