9AT: DICK RIVERA & ASSOCIATES

Adviser Profile

As of Date	04/02/2026
Registration status	Terminated
ADV Location	PENSACOLA BEACH, FL, United States
Contact Info	972 xxxxxxx

AUM^*	0 -100%
of that, discretionary	0 -100%
Number of Employees	2
of those in investment advisory functions	2
Private Fund GAV^*	0
SMA’s	Yes
Private Funds	0

Adviser Type

- No longer eligible

Client Types

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses

Compensation Arrangments

- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser HELM INVESTMENT MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM370.8m	#Funds-
Adviser PHYSICIAN WEALTH SOLUTIONS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM298.9m	#Funds-
Adviser SAGEVEST WEALTH MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM423.2m	#Funds-
Adviser ENSPYRE WEALTH ADVISORS, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM217.7m	#Funds-
Adviser ANDREWS, LUCIA WEALTH MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM543.5m	#Funds-
Adviser AURELIUS FAMILY OFFICE, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM315.3m	#Funds-
Adviser LIBERTY PRIVATE CLIENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM246.9m	#Funds-
Adviser EARNED WEALTH	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM106.6m	#Funds-
Adviser ASSET PLANNING, INC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM553.5m	#Funds-
Adviser MOLLER WEALTH PARTNERS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM755.9m	#Funds-

Brochure Summary

Overview

5 FINANCIAL PLANNING: Our Firm provides advice in the form of a Financial Plan. If you purchase this service you will receive a comprehensive written report providing you with a detailed financial plan designed to achieve your goals and objectives. Our Firm also provides to our clients the opportunity to be active in this preparation. Our Financial Plans will address any or all of the following areas of concern:
• Personal: Family records, budgeting, personal liability, estate information and financial goals.
• Tax & Cash Flow: Income tax and spending analysis and planning for past, current and future years. We will illustrate the impact of various investments on your current income tax and future tax liability.
• Death & Disability: Cash needs at death, income needs of surviving dependents, estate planning and disability income analysis.
• Retirement: Analysis of your current strategies and investment plans to help you achieve your retirement goals.
• Investments: Analysis of investment alternatives and their effect on your portfolio. Our Firm gathers required information through in-depth personal interviews. Information gathered includes a current financial status, future goals and attitudes towards risk. Related documents supplied by you and a completed questionnaire are

carefully reviewed and a written report is prepared. Implementation of the prepared plan or recommendations is solely at your discretion, with you also determining how you will implement the plan or recommendations. Our clients are encouraged to utilize any desired professional or group of professionals to assist in implementation. CONSULTING SERVICES: You can also receive investment advice on a more limited basis. This may include advice on only an isolated area(s) of concern such as estate planning, retirement planning, or any other specific topic. We provide specific consultation services regarding your current or projected financial position or other investment and financial concerns that you may have. TARGETED FINANCIAL ANALYSIS: Our firm provides advice in areas such as retirement education or insurance analysis for clients paying portfolio management fees identified in item 5 at no additional cost to clients. ASSETS UNDER MANAGEMENT As of December 31, 2022, Dick Rivera & Associates has approximately $131,075,893 in discretionary assets under management. Portfolio Management Program Fee Schedule Assets Under Management Annualized Fee First $2,000,000 1.25% Next $1,000,000 0.85% Above $3,000,000 0.65% Our Firm charges a minimum of $10,000 per year for the Portfolio Management Programs.

DICK RIVERA & ASSOCIATES

DICK RIVERA & ASSOCIATES

RIVERA, RICHARD THOMAS

DICK RIVERA & ASSOCIATES, LLC

Adviser Profile

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

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DICK RIVERA & ASSOCIATES DICK RIVERA & ASSOCIATES RIVERA, RICHARD THOMAS DICK RIVERA & ASSOCIATES, LLC

Adviser Profile

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

DICK RIVERA & ASSOCIATES

DICK RIVERA & ASSOCIATES

RIVERA, RICHARD THOMAS

DICK RIVERA & ASSOCIATES, LLC