James Ripley has been President & CCO of Richey Advisors since July 2015, is a control person of the firm and directly owns 75% or more of it. James Ripley holds a Business degree in finance from California State University Fullerton.
Richey Advisors, Inc. is a Placentia, CA firm with $160M under management, 247 clients and 4 advisers across 3 offices, as of its September 2026 filing.
James P. Ripley is President of R.A.I. Wealth Management. He joined Richey Financial Group in 1989, where alongside partners he established the registered investment advisory firm Richey Advisors, Inc. in 1992. Ripley became president and principal of R.A.I. in October 2015 and re-organized the firm under the dba R.A.I. Wealth Management.
James Ripley’s longest registration was 23 years at Richey Advisors, Inc. (1992–2015). Before joining Richey Advisors in 2015, James Ripley was registered through Richey Advisors, Inc.
- Gregory Advisors Inc.– · 5 yearsPlacentia, CA · Adviser representative · Firm CRD 112537
- Rai Wealth ManagementCurrent– present · 11 yearsPlacentia, CA · Adviser representative · Firm CRD 277137
- Richey Advisors, Inc.– · 23 yearsFullerton, CA · Adviser representative · Firm CRD 136005
Professional designations
Listed by Richey Advisors
- CFP®
- AAMS®
Investment adviser representative registrations
James Ripley is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from October 2015; the most recent is Texas, in February 2020.
- CaliforniaSince 15 October 2015
- TexasResidentSince 13 February 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 10 February 1989 |
| Series 7 | General Securities Representative Examination | 21 November 1987 |
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Full name
- James Patrick Ripley
- CRD
- 1769858
- Firm
- Richey Advisors · CRD 277137
- Role
- President & CCO
- Office
- 151 N. KRAEMER BLVD., SUITE 105, Placentia, CA 92870
- Registration
- Investment adviser registration
- In the industry since
- July 1992
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- raiwm.com
Where does James Ripley work?
James Ripley has been President & CCO of Richey Advisors, Inc. since July 2015, and is a control person of the firm.
Is James Ripley a financial advisor?
Yes. James Ripley has a current investment-adviser registration in California and Texas, through Richey Advisors since October 2015.
How many years of experience does James Ripley have?
James Ripley has 34 years in the financial industry, since July 1992, across 3 adviser firms.
What exams has James Ripley passed?
James Ripley has passed 2 licensing exams: the Series 7 and Series 24. The earliest, the Series 7, was passed in November 1987.
Where is James Ripley based?
James Ripley’s registered office is in Placentia, CA.
Is James Ripley registered with FINRA?
No. James Ripley has no current broker registration.
Is James Ripley a CFP?
Richey Advisors lists James Ripley with the CFP credential (“CFP®”) on its website. CFP Board confirms certification status.
How can I verify James Ripley’s record?
Search CRD 1769858 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Ripley’s full registration record.