Kurt W. Rauzi

DEDICATED CAPITAL ADVISORS

San Francisco, CA 94111

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CRD#: 1365507

Professional summary

Kurt Walter Rauzi, who also goes by Kurt W Rauzi, is a registered financial advisor currently at DEDICATED CAPITAL ADVISORS, LLC located in San Francisco, California.

Kurt is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Kurt has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kurt W Rauzi

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) - RIA

Click below to view Kurt Walter Rauzi'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

February 26, 2018 - Present

DEDICATED CAPITAL ADVISORS, LLC

Office #1: 601 Montgomery St. Suite 1111, San Francisco, CA 94111

CRD#: 6627

NEW YORK, NY

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".

DEDICATED CAPITAL ADVISORS, LLC

CRD#: 168132 / SEC#: 801-78393

RIA

Registered Investment Advisory firm - (9/30/2013 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.

Highlighted states indicate IAR registrations

IAR

California
(2/26/2018)

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

Series 63

Date: 9/12/1997

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/6/1996

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 2/27/2007

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 5/10/1985

Investment Company Products/Variable Contracts Representative Examination

Current Firm

DEDICATED CAPITAL ADVISORS, LLC

CRD#: 168132 / SEC#: 801-78393

RIA

Registered Investment Advisory firm - (9/30/2013 Approved)

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Contact information

Main Address

601 Montgomery St. Suite 1111, San Francisco, CA 94111

Mailing Address

Phone number

(415) 765-1778

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DEDICATED CAPITAL ADVISORS LLC BROCHURE (3/28/2024)

Regulatory assets under management

Total Number of Accounts	108
AUM (Assets Under Management)	$ 106,050,182

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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Firm Stability Insights

Kurt W. Rauzi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kurt Walter Rauzi's CRS (Customer Relationship Summary).

Certified licenses

Experience

GORDIAN INVESTMENTS, LLC

DEDICATED CAPITAL ADVISORS, LLC

NAVITAS INVESTMENT ADVISORY SERVICES, LLC

COKER & PALMER

AMERICAN SECURITIES GROUP, INC.

NAVITAS INVESTMENT ADVISORY SERVICES, LLC

NAVITAS INVESTMENT ADVISORY SERVICES, LLC

EPLANNING SECURITIES, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

DEDICATED CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/12/1997

Series 65

Date: 5/6/1996

SIE

Date: 12/31/2016

Series 22

Date: 2/27/2007

Series 6

Date: 5/10/1985

Current Firm

DEDICATED CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DEDICATED CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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