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

Kevin Gerard Betts

RBC Rochdale, LLCBD affiliatedNew York, Ny dual registrantIAPD 5561814

Feed of 09/14/2026

Also filed as Kevin Gerard Betts

At current firm

1 y

since Sep 12, 2025

In the industry

15 y

since Jun 25, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

RBC Rochdale, LLC BD affiliated current
since Sep 12, 2025 · New York, Ny
Citigroup Global Markets Inc. BD affiliated
Jan 19, 2023 to Sep 1, 2025 · San Francisco, Ca
RBC Rochdale, LLC BD affiliated
Jul 24, 2018 to Dec 21, 2022 · Beverly Hills, Ca
Capital Client Group, Inc. no RAUM
May 18, 2015 to Jan 31, 2017 · Irvine, Ca
Bny Mellon Securities Corporation other
Jun 5, 2014 to May 6, 2015 · New York, Ny
UBS Financial Services Inc. wirehouse
Oct 11, 2012 to Jun 9, 2014 · Weehawken, Nj
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Jun 27, 2011 to Sep 13, 2012 · Pennington, Nj

Moves

a registration end followed by a registration begin elsewhere

Citigroup Global Markets Inc. to RBC Rochdale, LLC
left Sep 1, 2025, registered Sep 12, 2025 (11 days) · Affiliated broker-dealer or bank to another
RBC Rochdale, LLC to Citigroup Global Markets Inc.
left Dec 21, 2022, registered Jan 19, 2023 (29 days) · Affiliated broker-dealer or bank to another
Capital Client Group, Inc. to RBC Rochdale, LLC
left Jan 31, 2017, registered Jul 24, 2018 (539 days) · Other
Bny Mellon Securities Corporation to Capital Client Group, Inc.
left May 6, 2015, registered May 18, 2015 (12 days) · Other
UBS Financial Services Inc. to Bny Mellon Securities Corporation
left Jun 9, 2014, registered Jun 5, 2014 (-4 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to UBS Financial Services Inc.
left Sep 13, 2012, registered Oct 11, 2012 (28 days) · Wirehouse to wirehouse

Signals

Kevin Gerard Betts left Citigroup Global Markets Inc. for Rbc Rochdale, Llc (registered 2025-09-12)
Sep 1, 2025 · Advisor changed firm · fact
Kevin Gerard Betts left Rbc Rochdale, Llc for Citigroup Global Markets Inc. (registered 2023-01-19)
Dec 21, 2022 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address