RK
Richard J. Kneip
RBC CAPITAL MARKETS
Dakota Dunes, SD 57049
Some features on this profile are disabled
CRD#: 4010174
RK
Professional summary
Richard Joseph Kneip, who also goes by Rick Joseph Kneip, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Dakota Dunes, South Dakota.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Richard has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Joseph Kneip
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.
1.PARTNER IN JIM'S FEED SUPPLY IN LEMARS, IA 2. LEAN PORK - PARTNER 3. TENDERLOIN PORK - PARTNER 4. HATTERAS INC. - PARNTER NORTH DAKOTA SOW CENTER. 5. RMK PORK, LLC; RAISING PIGS; OWNER; 3 HOURS PER QUARTER; DURING SECURITIES TRADING HOURS. 6.NORTH DAKOTA SOW CENTER; OWNER AND BOARD MEMBER; RAISING PIGS; NOT DURING SECURITIES TRADING HOURS; NO OTHER INFORMATION PROVIDED. 7. GEHLEN CATHOLIC SCHOOL; 709 PLYMOUTH STREET LEMARS IA 51031; CATHOLIC EDUCATION; CHAIRMAN OF FINANCE; ANNUAL BUDGET AND OTHER FINANCIAL DECISIONS; AFFILIATION STARTED 07/01/2004; 15 HOURS PER YEAR; DURING SECURITIES TRADING HOURS; NOT INVESTMENT RELATED. 8. Valley View Feedlots, Inc.; 4874 Birch Ave Hawarden IA 51023; Cattle Feedlot; Partner; affiliation started 01/01/2015; 8 hours per year; not during securities trading hours; not investment-related. 9. Personal Ownership of condominium; 10045 NE 1st St, #525 Bellevue WA 98004; Rents to his son; Owns the condo; collects rent monthly; affiliation started 06/19/2015; 1.0 hour per quarter; not during securities trading hours; not investment-related. 10. Gehlen Catholic School; Plymouth Street LeMars IA 51031; Catholic School; Co-Chair a Capital Campaign; Helps with fundraising; affiliation started 08/17/2017; 3.0 hours per week; not during securities trading hours; not investment-related. 11. Bull Creek Feedlot LLC; 17638 Fir Avenue Akron IA 51001; Cattle Feeding; Owner; Oversee feedlot activities; 12/20/2018; 4.00 Hour(s) Per Month; not during securities trading hours; Not Investment-Related (12) NAME OF ENTITY: Tenderloin Swine LLC ADDRESS: 1400 Industrial RD PO Box 926 LeMars, IA 51031 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Swine Feeding START DATE: 10.30.23 CAPACITY: Owner - Active DUTIES: Same management as Tenderloin Pork Inc. Broad overall management. Day to day activities are handled by other management. HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (13) NAME OF ENTITY: Richard J Kneip Cattle ADDRESS: 1431 14th Ave SE LeMars Iowa 51031 INVESTMENT/NOT INVESTMENT RELATED: No DESCRIPTION: Private Company START DATE: Oct 01, 2025 CAPACITY: Other DUTIES: I make my own buying decisions and selling decisions WORKING TIME: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
CRS (Client Relationship Summary) - RIA
Click below to view Richard Joseph Kneip's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Joseph Kneip's 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®
NoneExperience
Current
September 29, 2022 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 200 Gold Circle Suite 100, Dakota Dunes, SD 57049Office #3: 22 1st Street Nw, Lemars, IA 51031RIA
BD
CRD#: 31194
Dakota Dunes, SD
Current
September 29, 2022 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 200 Gold Circle Suite 100, Dakota Dunes, SD 57049Office #2: 22 1st Street Nw, Lemars, IA 51031RIA
BD
CRD#: 31194
Dakota Dunes, SD
Past
October 16, 2009 - October 11, 2022
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
SIOUX CITY, IA
Past
October 16, 2009 - October 11, 2022
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
SIOUX CITY, IA
Past
August 12, 2006 - October 16, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
SIOUX CITY, IA
Past
August 12, 2006 - October 16, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
SIOUX CITY, IA
Past
November 24, 1999 - August 12, 2006
PIPER SANDLER & CO.
RIA
CRD#: 665
SIOUX CITY, IA
Past
November 3, 1999 - August 12, 2006
PIPER SANDLER & CO.
BD
CRD#: 665
SIOUX CITY, IA
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".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(9/29/2022)
RR
California(9/29/2022)
RR
Florida(9/29/2022)
RR
Illinois(5/22/2025)
RR
Iowa(9/29/2022)
IAR
Iowa(1/3/2023)
RR
Kansas(9/29/2022)
RR
Kentucky(9/29/2022)
RR
Maryland(9/29/2022)
RR
Minnesota(9/29/2022)
RR
Missouri(9/29/2022)
RR
Nebraska(9/29/2022)
RR
Nevada(9/29/2022)
RR
South Dakota(9/29/2022)
IAR
South Dakota(10/3/2022)
RR
Texas(9/29/2022)
IAR
Texas(9/29/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,476
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
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.
