Theodore Rich has been President/Chief Compliance Officer of Rivertree Advisors since January 2013, is a control person of the firm and directly owns 75% or more of it.
Rivertree Advisors, LLC is a Winter Park, FL firm with $184M under management, 103 clients and 1 adviser in one office, as of its March 2026 filing.
Theodore Rich’s longest registration is the current one, 13 years at Rivertree Advisors since 2013. Before joining Rivertree Advisors in 2013, Theodore Rich was registered through Vinoy Capital, LLC.
- Rivertree Advisors, LLCCurrent– present · 13 yearsWinter Park, FL · Adviser representative · Firm CRD 168065
- Vinoy Capital, LLC– · 10 yearsWinter Park, FL · Adviser representative · Firm CRD 124989
Investment adviser representative registrations
Theodore Rich is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from August 2013; the most recent is Texas, in November 2024.
- ColoradoSince 5 August 2013
- FloridaSince 19 September 2013
- TexasResidentSince 20 November 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 4 August 1998 |
| Series 7 | General Securities Representative Examination | 27 September 1995 |
| Series 63 | Uniform Securities Agent State Law Examination | 18 September 1995 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Theodore Spencer Rich
- CRD
- 2592493
- Firm
- Rivertree Advisors · CRD 168065
- Role
- President/Chief Compliance Officer
- Office
- 941 WEST MORSE BOULEVARD, SUITE 100, Winter Park, FL 32789-3781
- Registration
- Investment adviser registration
- In the industry since
- February 2003
- Disciplinary history
- Not yet shown here · SEC record
Where does Theodore Rich work?
Theodore Rich has been President/Chief Compliance Officer of Rivertree Advisors, LLC since January 2013, and is a control person of the firm.
Is Theodore Rich a financial advisor?
Yes. Theodore Rich has a current investment-adviser registration in Colorado, Florida and Texas, through Rivertree Advisors since August 2013.
How many years of experience does Theodore Rich have?
Theodore Rich has 23 years in the financial industry, since February 2003, across 2 adviser firms.
What exams has Theodore Rich passed?
Theodore Rich has passed 3 licensing exams: the Series 63, Series 7 and Series 65. The earliest, the Series 63, was passed in September 1995.
Where is Theodore Rich based?
Theodore Rich’s registered office is in Winter Park, FL.
Is Theodore Rich registered with FINRA?
No. Theodore Rich has no current broker registration.
How can I verify Theodore Rich’s record?
Search CRD 2592493 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Theodore Rich’s full registration record.