Richard Atha has been an investment adviser representative at Prien Asset Management since May 2023, and is not listed among the firm’s executive officers or direct owners. Richard Atha holds an Undergraduate degree in general engineering from United States Military Academy and a Master of Business Administration in Finance from The University of Texas at El Paso.
Prien Asset Management, LLC is an Albuquerque, NM firm with $154M under management, 290 clients and 5 advisers across 4 offices, as of its March 2026 filing.
Richard Atha is Wealth Adviser of WaterRock Wealth Management. Atha commenced a financial services career in 1992 as an insurance agent and registered representative. Teaming with legal and accounting professionals, wealth management services incorporate investment positioning, tax planning, retirement planning, business continuation and legacy planning.
Richard Atha’s longest registration was 5 years at Center Street Advisors, Inc. (2017–2023). Before joining Prien Asset Management in 2023, Richard Atha was registered through Center Street Advisors, Inc. and Onpointe Advisory and Financial Services, LLC.
- Center Street Advisors, Inc.– · 5 yearsAlbuquerque, NM · Adviser representative · Firm CRD 169329
- Onpointe Advisory and Financial Services, LLC– · under a yearAlbuquerque, NM · Adviser representative · Firm CRD 162143
- Metlife Securities Inc.– · under a yearSacramento, CA · Adviser representative · Firm CRD 14251
- Transamerica Financial Advisors, Inc.– · 2 yearsElk Grove, CA · Adviser representative · Firm CRD 3600
Professional designations
Listed by Prien Asset Management
- Retirement Income Certified Professional (RICP®)
Investment adviser representative registrations
Richard Atha is registered as an investment adviser representative in 2 states. The first approvals date from May 2023; the most recent is California, in October 2025.
- CaliforniaSince 17 October 2025
- New MexicoSince 11 May 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 14 February 2017 |
| Series 63 | Uniform Securities Agent State Law Examination | 26 June 1992 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 15 June 1992 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Richard L Atha
- CRD
- 2240499
- Firm
- Prien Asset Management · CRD 296462
- Registration
- Investment adviser registration
- In the industry since
- October 2014
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- waterrockwealthmanagement.com
Where does Richard Atha work?
Richard Atha is an investment adviser representative registered through Prien Asset Management, LLC since May 2023, and is not listed among the firm’s executive officers or direct owners.
Is Richard Atha a financial advisor?
Yes. Richard Atha has a current investment-adviser registration in California and New Mexico, through Prien Asset Management since May 2023.
How many years of experience does Richard Atha have?
Richard Atha has 12 years in the financial industry, since October 2014, across 5 adviser firms.
What exams has Richard Atha passed?
Richard Atha has passed 3 licensing exams: the Series 6, Series 63 and Series 65. The earliest, the Series 6, was passed in June 1992.
Where did Richard Atha work before Prien Asset Management?
Before Prien Asset Management, Richard Atha was registered through Center Street Advisors, Inc., November 2017 to January 2023; Onpointe Advisory and Financial Services, LLC, July 2017 to September 2017; Metlife Securities Inc., August 2007 to August 2008; Transamerica Financial Advisors, Inc., April 2005 to July 2007.
Is Richard Atha registered with FINRA?
No. Richard Atha has no current broker registration.
How can I verify Richard Atha’s record?
Search CRD 2240499 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Richard Atha’s full registration record.