Kandarp Shah

CRD#: 6010043

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Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kandarp Shah, who also goes by Kandarp C Shah, Ken Shah, was a registered financial professional .

Kandarp is a previously registered financial professional and started their career in finance in 2013. Kandarp had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 4 and Series 24 exams.

Aliases

Kandarp C Shah | Ken Shah

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 30, 2025 - June 2, 2026

THRIVE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 281347

FORT WASHINGTON, PA

Past

November 27, 2019 - September 8, 2025

LINCOLN INVESTMENT

RIA

CRD#: 519

Fort Washington, PA

Past

July 24, 2018 - September 8, 2025

LINCOLN INVESTMENT

CRD#: 519

Fort Washington, PA

Past

September 10, 2013 - October 7, 2016

SCOTTRADE, INC.

CRD#: 8206

HATFIELD, PA

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".

THRIVE CAPITAL MANAGEMENT, LLC

OPTIMAL WEALTH SERVICES | THRIVE CAPITAL MANAGEMENT, LLC

CRD#: 281347 / SEC#: 801-119936

RIA

Registered Investment Advisory firm - (12/7/2020 Approved)

Florida

Registered Investment Advisory firm - (12/10/2020 Terminated)

New Jersey

Registered Investment Advisory firm - (12/31/2020 Terminated)

Pennsylvania

Registered Investment Advisory firm - (12/11/2020 Terminated)

Texas

Registered Investment Advisory firm - (12/10/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 11/25/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/30/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/9/2013

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 11/20/2018

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/10/2018

General Securities Principal Examination

Current Firm

THRIVE CAPITAL MANAGEMENT, LLC

OPTIMAL WEALTH SERVICES | THRIVE CAPITAL MANAGEMENT, LLC

CRD#: 281347 / SEC#: 801-119936

RIA

Registered Investment Advisory firm - (12/7/2020 Approved)

Florida

Registered Investment Advisory firm - (12/10/2020 Terminated)

New Jersey

Registered Investment Advisory firm - (12/31/2020 Terminated)

Pennsylvania

Registered Investment Advisory firm - (12/11/2020 Terminated)

Texas

Registered Investment Advisory firm - (12/10/2020 Terminated)

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Contact information

Main Address

500 W Office Center Drive Suite 300, Fort Washington, PA 19034

Mailing Address

Phone number

(800) 516-5861

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	2,494
AUM (Assets Under Management)	$ 397,680,145

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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Advisor Monitoring

Firm Stability Insights

Kandarp Shah

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LINCOLN INVESTMENT

LINCOLN INVESTMENT

SCOTTRADE, INC.

Primary Firm SEC Registration

THRIVE CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/25/2019

Series 63

Date: 9/30/2013

SIE

Date: 10/1/2018

Series 7

Date: 9/9/2013

Series 4

Date: 11/20/2018

Series 24

Date: 10/10/2018

Current Firm

THRIVE CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THRIVE CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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