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

Kristopher Schwarte

Pnc Wealth ManagementBD affiliatedBeech Grove, In dual registrantIAPD 5793668

Feed of 09/15/2026

Also filed as Kristopher Schwarte

At current firm

2 y

since Aug 7, 2024

In the industry

16 y

since Aug 9, 2010 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Pnc Wealth Management BD affiliated current
since Aug 7, 2024 · Beech Grove, In
W&S Brokerage Services, Inc. BD affiliated
Aug 22, 2023 to Aug 15, 2024 · Cincinnati, Oh
Empower Advisory Group, LLC BD affiliated
Jul 28, 2021 to Jul 19, 2023 · Cincinnati, Oh
Td Ameritrade, Inc. former
Feb 27, 2018 to Apr 28, 2020 · West Chester, Oh
Td Ameritrade Investment Management, LLC former
Feb 26, 2018 to Apr 28, 2020 · Omaha, Ne
Scottrade Investment Management former
Jul 3, 2017 to Feb 26, 2018 · Saint Louis, Mo
Strategic Advisers LLC national BD
Feb 2, 2017 to Jun 13, 2017 · Covington, Ky
Strategic Advisers LLC national BD
Oct 13, 2010 to Aug 20, 2015 · Covington, Ky

Moves

a registration end followed by a registration begin elsewhere

W&S Brokerage Services, Inc. to Pnc Wealth Management
left Aug 15, 2024, registered Aug 7, 2024 (-8 days) · Affiliated broker-dealer or bank to another
Empower Advisory Group, LLC to W&S Brokerage Services, Inc.
left Jul 19, 2023, registered Aug 22, 2023 (34 days) · Affiliated broker-dealer or bank to another
Td Ameritrade Investment Management, LLC to Td Ameritrade, Inc.
left Apr 28, 2020, registered Feb 27, 2018 (-791 days) · corporate re-registration, not a move
Td Ameritrade, Inc. to Empower Advisory Group, LLC
left Apr 28, 2020, registered Jul 28, 2021 (456 days) · Other
Scottrade Investment Management to Td Ameritrade Investment Management, LLC
left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
Strategic Advisers LLC to Scottrade Investment Management
left Jun 13, 2017, registered Jul 3, 2017 (20 days) · Other · moved with a team

Signals

Kristopher Schwarte left W&S Brokerage Services, Inc. for Pnc Wealth Management (registered 2024-08-07)
Aug 15, 2024 · Advisor changed firm · fact
Kristopher Schwarte left Empower Advisory Group, Llc for W&S Brokerage Services, Inc. (registered 2023-08-22)
Jul 19, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address