David A. Rolfe

WEDGEWOOD PARTNERS

St Louis, MO 63124-1120

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CRD#: 1475135

Professional summary

David Alan Rolfe, CFA is a registered financial advisor currently at WEDGEWOOD PARTNERS, INC. located in St Louis, Missouri.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. David has worked at 3 firms and has passed the Series 63, Series 7 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Alan Rolfe'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®

CFA

Chartered Financial Analyst

Experience

Current

June 15, 1992 - Present

WEDGEWOOD PARTNERS, INC.

Office #1: 9909 Clayton Rd, Suite 103, St Louis, MO 63124-1120

RIA

CRD#: 21923

St Louis, MO

Past

September 11, 1992 - October 29, 2013

WEDGEWOOD PARTNERS, INC.

CRD#: 21923

ST LOUIS, MO

Past

November 17, 1986 - March 22, 1988

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

March 20, 1986 - November 29, 1986

WESTPORT FINANCIAL GROUP, INC.

CRD#: 13048

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".

WEDGEWOOD PARTNERS, INC.

CRD#: 21923 / SEC#: 801-31746, 8-39356

RIA

Registered Investment Advisory firm - SEC (4/1/1988 Approved)

Terminated by SEC on 10/29/2013

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

Louisiana
(9/22/2005)

IAR

Missouri
(6/15/1992)

IAR

Texas
(2/12/2004)

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: 9/9/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/8/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/2/2000

General Securities Principal Examination

Current Firm

WEDGEWOOD PARTNERS, INC.

CRD#: 21923 / SEC#: 801-31746, 8-39356

RIA

Registered Investment Advisory firm - SEC (4/1/1988 Approved)

Terminated by SEC on 10/29/2013

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Contact information

Main Address

9909 Clayton Rd, Suite 103, St Louis, MO 63124-1120

Mailing Address

Phone number

(314) 567-6407

Established

Missouri since 02/17/1988

Firm type

Corporation

Fiscal year end

December

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (2/24/2025)

Direct owners and executive officers

Name	Position	CRD#
GUERRERIO, ANTHONY LAWRENCE	CEO/CHAIRMAN , SROP, FNOP, CROP, CHIEF COMPLIANCE OFFICER	844567
ROLFE, DAVID ALAN	CHIEF INVESTMENT OFFICER	1475135

Regulatory assets under management

Total Number of Accounts	388
AUM (Assets Under Management)	$ 539,692,744

Disclosures

Regulatory Event	1
Arbitration	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/08/2023	Cover Page	Report
11/29/2022	Cover Page	Report

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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David A. Rolfe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Alan Rolfe's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEDGEWOOD PARTNERS, INC.

UBS FINANCIAL SERVICES INC.

WESTPORT FINANCIAL GROUP, INC.

Primary Firm SEC Registration

WEDGEWOOD PARTNERS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/9/1992

Series 7

Date: 9/8/1992

Series 24

Date: 3/2/2000

Current Firm

WEDGEWOOD PARTNERS, INC.

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

WEDGEWOOD PARTNERS, INC.

TRUST BUT VERIFY

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