DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Kimberly Christine Riccoboni
Feed of 09/14/2026
Also filed as Kimberly Christine Yuhas
At current firm
9 y
since Mar 25, 2017
In the industry
19 y
since Apr 11, 2007 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- MML Investors Services, LLC BD affiliated currentsince Mar 25, 2017 · Tinton Falls, Nj
- Tower Square Securities, Inc. formerNov 21, 2011 to Sep 5, 2013 · Tinton Falls, Nj
- Walnut Street Securities, Inc. formerNov 21, 2011 to Sep 5, 2013 · Tinton Falls, Nj
- New England Securities Corporation formerNov 21, 2011 to Jan 2, 2015 · Charlotte, Nc
- Msi Financial Services, Inc. formerNov 4, 2011 to Mar 25, 2017 · Charlotte, Nc
- Newport Capital Group, LLC mixed wealthJan 6, 2011 to Nov 2, 2011 · Red Bank, Nj
- Walnut Street Securities, Inc. formerMay 3, 2007 to Oct 29, 2009 · Somerset, Nj
Moves
a registration end followed by a registration begin elsewhere
- Msi Financial Services, Inc. to Tower Square Securities, Inc.left Mar 25, 2017, registered Nov 21, 2011 (-1951 days) · Other · moved with a team
- New England Securities Corporation to MML Investors Services, LLCleft Jan 2, 2015, registered Mar 25, 2017 (813 days) · Other · moved with a team
- Walnut Street Securities, Inc. to New England Securities Corporationleft Sep 5, 2013, registered Nov 21, 2011 (-654 days) · channel change inside one enterprise, not a move
- Tower Square Securities, Inc. to Walnut Street Securities, Inc.left Sep 5, 2013, registered Nov 21, 2011 (-654 days) · channel change inside one enterprise, not a move
- Newport Capital Group, LLC to Msi Financial Services, Inc.left Nov 2, 2011, registered Nov 4, 2011 (2 days) · Other
- Walnut Street Securities, Inc. to Newport Capital Group, LLCleft Oct 29, 2009, registered Jan 6, 2011 (434 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address