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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

KIMBERLY FAITH SOWERS

Advisor at RBC CAPITAL MARKETS, LLC

AUSTIN, TX | Austin, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:266eecd7-7fb5-7432-4ed9-eb9bf7858df3

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Sep 26, 2006 to Sep 15, 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: RBC CAPITAL MARKETS, LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 26, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Apr 8, 2026
First registration: Sep 26, 2006
Dual registered: yes, broker-dealer
Other names: KIMBERLY FAITH WRIGHT
IAPD individual key: 4089974

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
RBC CAPITAL MARKETS, LLC	National bd RIA	Apr 28, 2026	n/a	yes	Austin, TX\|AUSTIN, TX	Current employment
SAGE ADVISORY SERVICES LTD CO	Mixed wealth	Oct 13, 2014	Jan 6, 2023	no	AUSTIN, TX	Previous registration
INDEPENDENT PORTFOLIO CONSULTANTS, INC.	Former SEC adviser	Sep 26, 2006	Sep 30, 2014	no	BOCA RATON, FL	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
SAGE ADVISORY SERVICES LTD CO	RBC CAPITAL MARKETS, LLC	Jan 6, 2023	Apr 28, 2026	1,208	Firm change after gap	Other
INDEPENDENT PORTFOLIO CONSULTANTS, INC.	SAGE ADVISORY SERVICES LTD CO	Sep 30, 2014	Oct 13, 2014	13	Firm change	Other

Relationships

Registered with (3)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: current employment
Apr 28, 2026 to presentfactForm ADV
→ SAGE ADVISORY SERVICES LTD CORegistered adviserregistration: previous registration
Oct 13, 2014 to Jan 6, 2023factForm ADV
→ INDEPENDENT PORTFOLIO CONSULTANTS, INC.Registered adviserregistration: previous registration
Sep 26, 2006 to Sep 30, 2014factForm ADV

Dated events

Occurred
Jan 6, 2023
Advisor changed firm
Kimberly Faith Sowers left Sage Advisory Services Ltd Co for Rbc Capital Markets, Llc (registered 2026-04-28)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:266eecd7-7fb5-7432-4ed9-eb9bf7858df3
First observed: Sep 26, 2006
Last observed: Sep 15, 2026 5 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

KIMBERLY FAITH SOWERS

Advisor at RBC CAPITAL MARKETS, LLC

AUSTIN, TX | Austin, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:266eecd7-7fb5-7432-4ed9-eb9bf7858df3

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:16 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

RBC CAPITAL MARKETS, LLC

National bd RIA

Apr 28, 2026

n/a

yes

Austin, TX|AUSTIN, TX

Current employment

SAGE ADVISORY SERVICES LTD CO

Mixed wealth

Oct 13, 2014

Jan 6, 2023

AUSTIN, TX

Previous registration

INDEPENDENT PORTFOLIO CONSULTANTS, INC.

Former SEC adviser

Sep 26, 2006

Sep 30, 2014

BOCA RATON, FL

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

SAGE ADVISORY SERVICES LTD CO

RBC CAPITAL MARKETS, LLC

Jan 6, 2023

Apr 28, 2026

1,208

Firm change after gap

Other

INDEPENDENT PORTFOLIO CONSULTANTS, INC.

SAGE ADVISORY SERVICES LTD CO

Sep 30, 2014

Oct 13, 2014

Firm change

Other