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

Sarah Sau King Mack

Ameriprise Financial Services, LLCnational BDRichmond, Va dual registrantIAPD 4778499

Chartered Financial Consultant

Feed of 09/14/2026

Also filed as Sarah Mack

At current firm

2 y

since May 1, 2024

In the industry

22 y

since Aug 3, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Ameriprise Financial Services, LLC national BD current
since May 1, 2024 · Glen Allen, Va
Wells Fargo Advisors wirehouse
Jul 31, 2013 to Nov 29, 2023 · Anchorage, Ak
Wealthcare Capital Management LLC independent RIA
Oct 11, 2010 to Apr 21, 2011 · Richmond, Va
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Jul 10, 2006 to Dec 22, 2008 · Williamsburg, Va
Citigroup Global Markets Inc. BD affiliated
Feb 21, 2006 to Jun 8, 2006 · New York, Ny
Legg Mason Wood Walker, Incorporated unclassified
Aug 4, 2004 to Feb 21, 2006 · Williamsburg, Va

Moves

a registration end followed by a registration begin elsewhere

Wells Fargo Advisors to Ameriprise Financial Services, LLC
left Nov 29, 2023, registered May 1, 2024 (154 days) · Wirehouse to affiliated broker-dealer or bank
Wealthcare Capital Management LLC to Wells Fargo Advisors
left Apr 21, 2011, registered Jul 31, 2013 (832 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Wealthcare Capital Management LLC
left Dec 22, 2008, registered Oct 11, 2010 (658 days) · Other
Citigroup Global Markets Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Jun 8, 2006, registered Jul 10, 2006 (32 days) · Other
Legg Mason Wood Walker, Incorporated to Citigroup Global Markets Inc.
left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move

Signals

Sarah Sau King Mack left Wells Fargo Advisors for Ameriprise Financial Services, Llc (registered 2024-05-01)
Nov 29, 2023 · Advisor changed firm · fact

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: National broker-dealer RIAderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address