Khadir N. Richie

RICHIE CAPITAL GROUP

Austin, TX 78741

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CRD#: 5099518

Professional summary

Khadir Nuri Richie is a registered financial advisor currently at RICHIE CAPITAL GROUP located in Austin, Texas.

Khadir is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Khadir has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 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.

Richie Capital Group, LLC is a business associated with our advisory business (Richie Investment Advisors). However, since Richie Capital Group is a separate legal entity, we are required to classify Richie Capital Group as an "outside business activity." Additionally, Richie Investment Advisors acts as the Managing Member and Advisor to RCG Alpha Long Short Fund, LLC. This relationship also represents an outside activity. All three entities operate out of the same business office.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Khadir Nuri Richie'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®

None

Experience

Current

October 23, 2015 - Present

RICHIE CAPITAL GROUP

Office #1: 2028 E. Ben White Blvd Suite 550, Austin, TX 78741

RIA

CRD#: 281407

Austin, TX

Past

February 29, 2008 - February 17, 2011

RBC CAPITAL MARKETS, LLC

CRD#: 31194

SAN FRANCISCO, CA

Past

September 17, 2007 - February 29, 2008

RBC CAPITAL MARKETS CORPORATION

CRD#: 6579

SAN FRANCISCO, CA

Past

May 12, 2006 - August 13, 2007

SVB ALLIANT

CRD#: 121455

PALO ALTO, CA

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

Georgia
(11/16/2015)

IAR

Texas
(10/23/2015)

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

IAR

Series 65

Date: 10/1/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/5/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/11/2006

General Securities Representative Examination

Current Firm

RICHIE CAPITAL GROUP

RICHIE CAPITAL GROUP | RICHIE INVESTMENT ADVISORS, LLC

CRD#: 281407 / SEC#:

Georgia

Registered Investment Advisory firm - (11/16/2015 Approved)

Texas

Registered Investment Advisory firm - (1/10/2019 Approved)

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Contact information

Main Address

2028 E. Ben White Blvd Suite 550, Austin, TX 78741

Mailing Address

Phone number

(737) 707-3310

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	33
AUM (Assets Under Management)	$ 13,638,263

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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Khadir N. Richie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Khadir Nuri Richie's CRS (Customer Relationship Summary).

Certified licenses

Experience

RICHIE CAPITAL GROUP

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS CORPORATION

SVB ALLIANT

State Registrations and Notice Filings

Exams

Series 65

Date: 10/1/2015

Series 63

Date: 6/5/2006

Series 7

Date: 5/11/2006

Current Firm

RICHIE CAPITAL GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

RICHIE CAPITAL GROUP

TRUST BUT VERIFY

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