David M. Richman

EATON VANCE MANAGEMENT

BOSTON, MA 02109

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CRD#: 1024804

Professional summary

David Michael Richman, who also goes by David Richman, is a registered financial advisor currently at EATON VANCE MANAGEMENT located in Boston, Massachusetts and EATON VANCE DISTRIBUTORS, INC. located in Boston, Massachusetts.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. David has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 22 and Series 39 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Richman

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.

* 473838 - D&F Consulting; Investment related No; Miami Beach, Florida; Publishing; Partner (proprietor, partner, officer, director, employee, trustee, agent); 05/2006; During business hours: 0; After business hours: 10; author (2) SELF-EMPLOYED, CHARISMATIC ADVISOR PUBLISHING PARTNERSHIP WITH DR. ROBERT BROOKS (NON-INVESTMENT RELATED)- PERFORMED OUTSIDE OF SECURITIES TRADING HOURS: WRITER AND CO-AUTHOR FOR MULTIPLE BOOKS, LOCATED MIAMI BEACH, FL ROYALTIES FOR BOOKS FLOW DIRECTLY TO D&F CONSULTING. 40 HOURS PER MONTH. (3) CONDO RENTAL, NON-INVESTMENT RELATED 20 ISLAND AVE, #1409, MIAMI BEACH, FL, 06/02/13, 0 HOURS DURING THE MONTH AND 0 HOURS DURING SECURITIES TRADING. (4) KAPLAN PUBLISHING - WRITER AND CO-AUTHOR, COMPENSATION/ROYALTIES PAID TO D&F CONSULTING, 5 HOURS QUARTERLY AND 0 HOURS DURING SECURITIES TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Michael Richman'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 17, 2009 - Present

EATON VANCE MANAGEMENT

Office #1: One Post Office Square, Boston, MA 02109

RIA

CRD#: 104859

BOSTON, MA

Current

November 29, 2004 - Present

EATON VANCE DISTRIBUTORS, INC.

Office #1: 1 Post Office Square, Boston, MA 02109

CRD#: 37731

BOSTON, MA

Past

January 16, 2004 - August 2, 2004

FISHER INVESTMENTS

RIA

CRD#: 107342

WEST HARTFORD, CT

Past

March 29, 1996 - May 6, 2004

BRINKER CAPITAL INC

RIA

CRD#: 111743

WEST HARTFORD, CT

Past

October 10, 1994 - October 30, 1995

CRESAP, INC.

CRD#: 25899

RADNOR, PA

Past

May 12, 1986 - January 7, 1991

CAMBRIDGE EQUITY CORPORATION

CRD#: 15801

Past

November 26, 1983 - May 2, 1986

ANGELES SECURITIES CORPORATION

CRD#: 8083

Past

June 28, 1982 - November 1, 1983

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

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".

EATON VANCE MANAGEMENT

CRD#: 104859 / SEC#: 801-15930

RIA

Registered Investment Advisory firm - (2/20/1981 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.

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

Florida
(12/12/2007)

Georgia
(12/12/2007)

Massachusetts
(12/14/2004)

IAR

Massachusetts
(4/17/2009)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 12/10/2004

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/28/1994

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/7/1994

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 6/25/1982

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 39

Date: 10/25/1984

Direct Participation Programs Principal Examination

SRO Registrations

FINRA

Current Firm

EATON VANCE MANAGEMENT

CRD#: 104859 / SEC#: 801-15930

RIA

Registered Investment Advisory firm - (2/20/1981 Approved)

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Contact information

Main Address

One Post Office Square, Boston, MA 02109

Mailing Address

Phone number

(617) 482-8260

Established

Firm type

Fiscal year end

# of Employees

247

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EVM FORM ADV PART 2A BROCHURE (6/18/2025)

Regulatory assets under management

Total Number of Accounts	4,053
AUM (Assets Under Management)	$ 84,879,368,900

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

David M. Richman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Michael Richman's CRS (Customer Relationship Summary).

Certified licenses

Experience

EATON VANCE DISTRIBUTORS, INC.

FISHER INVESTMENTS

BRINKER CAPITAL INC

CRESAP, INC.

CAMBRIDGE EQUITY CORPORATION

ANGELES SECURITIES CORPORATION

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

EATON VANCE MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 12/10/2004

Series 65

Date: 10/28/1994

SIE

Date: 10/1/2018

Series 7

Date: 10/7/1994

Series 22

Date: 6/25/1982

Series 39

Date: 10/25/1984

FINRA

Current Firm

EATON VANCE MANAGEMENT

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EATON VANCE MANAGEMENT

TRUST BUT VERIFY

Contact information

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