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RIA / WealthAdvisor32 years in industry

KENNETH LOUIS RIFFLE

Advisor at FCG INVESTMENT COMPANY

GERMANTOWN, TN

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: FCG INVESTMENT COMPANY
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 21, 1993earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Dec 21, 1993
First registration: Mar 29, 2004
Dual registered: no
Other names: KEN RIFFLE
IAPD individual key: 1934162

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
FCG INVESTMENT COMPANY	Independent wealth	Apr 22, 2020	n/a	yes	GERMANTOWN, TN	Current employment
MID ATLANTIC FINANCIAL MANAGEMENT, INC.	Former SEC adviser	Sep 17, 2018	Jun 1, 2020	no	GERMANTOWN, TN\|PITTSBURGH, PA	Previous registration
NUVEEN ASSET MANAGEMENT, LLC	Mixed wealth	Aug 26, 2016	Sep 14, 2018	no	Memphis, TN	Previous registration
TRADEWINDS GLOBAL INVESTORS, LLC	Former SEC adviser	Mar 31, 2015	Nov 30, 2016	no	MEMPHIS, TN\|LOS ANGELES, CA	Previous registration
SECTOR CAPITAL MANAGEMENT, L.L.C.	Former SEC adviser	Feb 11, 2014	May 18, 2015	no	MEMPHIS, TN	Previous registration
HIGHLAND CAPITAL MANAGEMENT, LLC	Mixed wealth	Jun 18, 2013	Oct 16, 2013	no	MEMPHIS, TN	Previous registration
SECTOR CAPITAL MANAGEMENT, L.L.C.	Former SEC adviser	Mar 29, 2004	Oct 16, 2013	no	MEMPHIS, TN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MID ATLANTIC FINANCIAL MANAGEMENT, INC.	FCG INVESTMENT COMPANY	Jun 1, 2020	Apr 22, 2020	-40	Firm change after gap	Ibd to new firm
NUVEEN ASSET MANAGEMENT, LLC	MID ATLANTIC FINANCIAL MANAGEMENT, INC.	Sep 14, 2018	Sep 17, 2018	3	Firm change	Other
TRADEWINDS GLOBAL INVESTORS, LLC	NUVEEN ASSET MANAGEMENT, LLC	Nov 30, 2016	Aug 26, 2016	-96	Firm change after gap	Other
SECTOR CAPITAL MANAGEMENT, L.L.C.	TRADEWINDS GLOBAL INVESTORS, LLC	May 18, 2015	Mar 31, 2015	-48	Firm change after gap	Other
HIGHLAND CAPITAL MANAGEMENT, LLC	SECTOR CAPITAL MANAGEMENT, L.L.C.	Oct 16, 2013	Feb 11, 2014	118	Firm change	Other
SECTOR CAPITAL MANAGEMENT, L.L.C.	HIGHLAND CAPITAL MANAGEMENT, LLC	Oct 16, 2013	Jun 18, 2013	-120	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
109771:308192:PA:2020-06-01	Jun 1, 2020	Apr 22, 2020	PITTSBURGH, PA	Firm change after gap
138476:155584:CA:2016-11-30	Nov 30, 2016	Aug 26, 2016	LOS ANGELES, CA	Firm change after gap
106782:138476:TN:2015-05-18	May 18, 2015	Mar 31, 2015	MEMPHIS, TN	Firm change after gap

Relationships

Registered with (6)

→ FCG INVESTMENT COMPANYRegistered adviserregistration: current employment
Apr 22, 2020 to presentfactForm ADV
→ MID ATLANTIC FINANCIAL MANAGEMENT, INC.Registered adviserregistration: previous registration
Sep 17, 2018 to Jun 1, 2020factForm ADV
→ NUVEEN ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 26, 2016 to Sep 14, 2018factForm ADV
→ TRADEWINDS GLOBAL INVESTORS, LLCRegistered adviserregistration: previous registration
Mar 31, 2015 to Nov 30, 2016factForm ADV
→ SECTOR CAPITAL MANAGEMENT, L.L.C.Registered adviserregistration: previous registration
Feb 11, 2014 to May 18, 2015factForm ADV
→ HIGHLAND CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 18, 2013 to Oct 16, 2013factForm ADV

Dated events

No dated event names this entity yet.