Kenichi Shoji

VIEW CAPITAL RIA, LP

Dallas, TX 75201

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CRD#: 2390962

Professional summary

Kenichi Shoji is a registered financial advisor currently at VIEW CAPITAL RIA, LP located in Dallas, Texas.

Kenichi is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Kenichi has worked at 5 firms and has passed the Series 63, Series 7, Series 3, Series 24, Series 8 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Director of Clear Markets North America, Inc., non public company. Duties are to oversee operations of the company. Devote one hour per month and none during business hours. Compensation will be stock options only.; Advisory Board Member of Active Allocator Holdings, LLC, private company, to advise the company on the development of its platform. Devote three hours per month and none during trading hours. Compensation will be shares of Active Allocator Holdings, LLC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenichi Shoji's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 7, 2017 - Present

VIEW CAPITAL RIA, LP

Office #1: 2727 N. Harwood Street Suite 225, Dallas, TX 75201

RIA

CRD#: 130678

Dallas, TX

Past

September 29, 2005 - May 11, 2009

COMMERZ MARKETS LLC

CRD#: 41957

NEW YORK, NY

Past

March 16, 1999 - November 5, 2002

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

May 14, 1998 - March 16, 1999

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

November 22, 1993 - March 23, 1998

JPMSI

CRD#: 15733

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

VIEW CAPITAL RIA, LP

BLUFFVIEW RIA, LP | VIEW CAPITAL RIA, LP

CRD#: 130678 / SEC#: 801-62983

RIA

Registered Investment Advisory firm - (4/9/2004 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(4/7/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/24/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/28/2005

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 7/20/1994

National Commodity Futures Examination

Principal/Supervisory Exam

Series 24

Date: 3/14/2006

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 11/28/1995

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 4

Date: 10/31/1995

Registered Options Principal Examination

Current Firm

VIEW CAPITAL RIA, LP

BLUFFVIEW RIA, LP | VIEW CAPITAL RIA, LP

CRD#: 130678 / SEC#: 801-62983

RIA

Registered Investment Advisory firm - (4/9/2004 Approved)

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Contact information

Main Address

2727 N. Harwood Street Suite 225, Dallas, TX 75201

Mailing Address

Phone number

(214) 855-2550

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VIEW CAPITAL RIA, LP - FORM ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	169
AUM (Assets Under Management)	$ 1,774,409,102

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/22/2024	Cover Page	Report
10/18/2023	Cover Page	Report
09/28/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Kenichi Shoji

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenichi Shoji's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMMERZ MARKETS LLC

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

JPMSI

Primary Firm SEC Registration

VIEW CAPITAL RIA, LP

State Registrations and Notice Filings

Exams

Series 63

Date: 10/24/2005

Series 7

Date: 9/28/2005

Series 3

Date: 7/20/1994

Series 24

Date: 3/14/2006

Series 8

Date: 11/28/1995

Series 4

Date: 10/31/1995

Current Firm

VIEW CAPITAL RIA, LP

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

VIEW CAPITAL RIA, LP

TRUST BUT VERIFY

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