Neal Richards has been Founder, Chief Executive Officer, Chief Compliance Officer of Axiom Wealth Strategies since February 2021, is a control person of the firm and directly owns 75% or more of it.
Axiom Wealth Strategies, LLC is a Bend, OR firm with $125M under management, 283 clients and 2 advisers across 2 offices, as of its July 2026 filing.
Neal Richards is Financial Advisor and CEO of Axiom Wealth Strategies. He founded the firm. Neal began his career in 2007 at Northwestern Mutual, began working for Wells Fargo Advisors in 2012, and in April 2017 joined Cascade Financial Strategies, an RIA.
Neal Richards’ longest registration is the current one, 5 years at Axiom Wealth Strategies since 2021. Before joining Axiom Wealth Strategies in 2021, Neal Richards was registered through Cascade Financial Strategies and Wells Fargo Clearing Services, LLC.
- Axiom Wealth Strategies, LLCCurrent– present · 5 yearsBend, OR · Adviser representative · Firm CRD 313124
- Cascade Financial Strategies– · 4 yearsBend, OR · Adviser representative · Firm CRD 166610
- Wells Fargo Clearing Services, LLC– · 4 yearsBend, OR · Adviser representative · Firm CRD 19616
Professional designations
Listed by Axiom Wealth Strategies
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Neal Richards is registered as an investment adviser representative in 4 states, as a resident of Texas. The first approvals date from April 2021; the most recent is Washington, in October 2025.
- IdahoSince 18 October 2021
- OregonSince 8 October 2021
- TexasResidentSince 22 April 2021
- WashingtonSince 14 October 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 9 August 2012 |
| Series 7 | General Securities Representative Examination | 19 July 2012 |
| Series 63 | Uniform Securities Agent State Law Examination | 2 June 2008 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 1 April 2008 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Neal Albert Richards
- CRD
- 5426580
- Firm
- Axiom Wealth Strategies · CRD 313124
- Role
- Founder, Chief Executive Officer, Chief Compliance Officer
- Office
- 243 SW SCALEHOUSE LOOP, SUITE 5B, Bend, OR 97702
- Registration
- Investment adviser registration
- In the industry since
- August 2008
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- axiomwealthstrategies.com
Where does Neal Richards work?
Neal Richards has been Founder, Chief Executive Officer, Chief Compliance Officer of Axiom Wealth Strategies, LLC since February 2021, and is a control person of the firm.
Is Neal Richards a financial advisor?
Yes. Neal Richards has a current investment-adviser registration in Idaho, Oregon, Texas and Washington, through Axiom Wealth Strategies since April 2021.
How many years of experience does Neal Richards have?
Neal Richards has 18 years in the financial industry, since August 2008, across 3 adviser firms.
What exams has Neal Richards passed?
Neal Richards has passed 4 licensing exams: the Series 6, Series 63, Series 7 and Series 66. The earliest, the Series 6, was passed in April 2008. FINRA credited Neal Richards with the SIE, which began in October 2018.
Where did Neal Richards work before Axiom Wealth Strategies?
Before Axiom Wealth Strategies, Neal Richards was registered through Wells Fargo Clearing Services, LLC, August 2012 to April 2017.
Where is Neal Richards based?
Neal Richards’ registered office is in Bend, OR.
Is Neal Richards registered with FINRA?
No. Neal Richards has no current broker registration.
Is Neal Richards a CFP?
Axiom Wealth Strategies lists Neal Richards with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
Source: Neal Richards, CFP® biography, axiomwealthstrategies.com
How can I verify Neal Richards’ record?
Search CRD 5426580 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Neal Richards’ full registration record.