Philip J. Rauch

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CRD#: 1332079

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.

Philip John Rauch, who also goes by Philip J Rauch, was a registered financial professional .

Philip is a previously registered financial professional and started their career in finance in 1990. Philip had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Trading individual securities

Philanthropic services

Financial planning

What is your current number of clients?

Greater than 100

What is your minimum asset requirement?

500K

Are you a "fiduciary"?

Aliases

Philip J Rauch

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.

IDEAL ASSOCIATES; INVESTMENT-RELATED; 3 TALL TREE COURT, BROOKLANDVILLE, MD 21022; GENERAL PARTNER; 5/18/88; 1 HRS/MONTH DEDICATED; DUTIES - GENERAL PARTNER W/ INVESTMENT RESPONSIBILITIES. MR. RAUCH SERVES AS TRUSTEE TO THE PHILIP J. RAUCH REVOCABLE TRUST. IN ADDITION, MR. RAUCH SERVES AS CO-TRUSTEE TO THE FOLLOWING TRUSTS: THE BARRY HALEVY 1973 TRUST, THE RAUCH 1973 TRUST FBO MAX HALEVY AND THE PHILIP J. RAUCH IRREVOCABLE TRUST. LESS THAN 1 HOUR PER MONTH PER TRUST IS DEVOTED TO THIS 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®

CRD#: 7560

JERSEY CITY, NJ

Past

September 1, 1997 - May 19, 2000

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

April 24, 1990 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

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".

WILLIAM BLAIR

WILLIAM BLAIR | WILLIAM BLAIR & COMPANY L.L.C. | WILLIAM BLAIR & COMPANY

CRD#: 1252 / SEC#: 801-688, 8-2698

RIA

Registered Investment Advisory firm - SEC (12/24/1947 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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 65

Date: 5/6/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/7/1990

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: 4/21/1990

General Securities Representative Examination

Current Firm

WILLIAM BLAIR

WILLIAM BLAIR | WILLIAM BLAIR & COMPANY L.L.C. | WILLIAM BLAIR & COMPANY

CRD#: 1252 / SEC#: 801-688, 8-2698

RIA

Registered Investment Advisory firm - SEC (12/24/1947 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

The William Blair Building 150 North Riverside, Chicago, IL 60606

Mailing Address

The William Blair Building 150 North Riverside, Chicago, IL 60606-1594

Phone number

(312) 236-1600

Established

Delaware since 10/30/1995

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

469

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

WILLIAM BLAIR FORM ADV PART 2A - APPENDIX 1 WRAP BROCHURE (8/14/2025)

WILLIAM BLAIR & COMPANY, L.L.C. FORM ADV 2A BROCHURE (8/14/2025)

WILLIAM BLAIR EQUITY RESEARCH SERVICES FORM ADV 2A (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
WBC HOLDINGS, L.P.	HOLDING COMPANY
CITARDI, CISSIE	EXECUTIVE COMMITTEE, GENERAL COUNSEL	6642613
DEVORE, RYAN JACOB	EXECUTIVE COMMITTEE	3049671
DUWA, ROBERT J	EXECUTIVE COMMITTEE	2931296
GLEDHILL, BRENT WALKER	PRESIDENT, CEO	2921069
MCLAUGHLIN, SCOTT THOMAS	EXECUTIVE COMMITTEE	2481285
QUINN, MICHAEL PATRICK	EXECUTIVE COMMITTEE	3257072
RASAVONGXAY, WILLSON B	CHIEF COMPLIANCE OFFICER	6593731
SATTERFIELD, BETH A	EXECUTIVE COMMITTEE	6011858
TOLE, STEVEN ROBERT	EXECUTIVE COMMITTEE	5885283
TRIMBERGER, MICHAEL WILLIAM	CFO	5329834
ZIMMER, MATTHEW MONTGOMERY	EXECUTIVE COMMITTEE	4157826

Regulatory assets under management

Total Number of Accounts	37,973
AUM (Assets Under Management)	$ 58,329,726,421

Disclosures

Regulatory Event	29
Arbitration	2
Bond	1

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

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Philip J. Rauch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WILLIAM BLAIR

BROWN ADVISORY SECURITIES, LLC

BROWN ADVISORY SECURITIES, LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

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CREDIT SUISSE SECURITIES (USA) LLC

PERSHING LLC

PERSHING LLC

DB ALEX. BROWN LLC

ALEX. BROWN & SONS INCORPORATED

Primary Firm SEC Registration

WILLIAM BLAIR

State Registrations and Notice Filings

Exams

Series 65

Date: 5/6/1993

Series 63

Date: 5/7/1990

SIE

Date: 10/1/2018

Series 7

Date: 4/21/1990

Current Firm

WILLIAM BLAIR

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

WILLIAM BLAIR

TRUST BUT VERIFY

Contact information

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