AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
DM

David A. Maisel

ORCA INVESTMENT MANAGEMENT
Portland, OR 97223
Some features on this profile are disabled
CRD#: 1865794
DM

Professional summary

David Allen Maisel is a registered financial advisor currently at ORCA INVESTMENT MANAGEMENT, LLC located in Portland, Oregon and PAULSON INVESTMENT COMPANY LLC located in Portland, Oregon.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. David has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 53 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 Allen Maisel'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

March 19, 2026 - Present

ORCA INVESTMENT MANAGEMENT, LLC

Office #1: 10220 Sw Greenburg Rd, Ste 380, Portland, OR 97223
RIA
CRD#: 144377
Portland, OR
Current

December 9, 2024 - Present

PAULSON INVESTMENT COMPANY LLC

Office #1: 10220 Sw Greenburg Rd Suite 380, Portland, OR 97223
BD
CRD#: 5670
PORTLAND, OR
Past

June 28, 2018 - November 18, 2024

M HOLDINGS SECURITIES, INC.

RIA
CRD#: 43285
PORTLAND, OR
Past

March 2, 2018 - November 18, 2024

M HOLDINGS SECURITIES, INC.

BD
CRD#: 43285
PORTLAND, OR
Past

March 10, 2017 - December 20, 2017

LION STREET FINANCIAL, LLC

BD
CRD#: 165828
LAKE OSWEGO, OR
Past

May 11, 2004 - September 28, 2016

J.W. MILLEGAN, INC.

BD
CRD#: 40116
SHERIDAN, OR
Past

November 2, 2000 - June 7, 2002

VIEWPOINT SECURITIES, LLC

BD
CRD#: 104226
SAN DIEGO, CA
Past

September 15, 1989 - July 18, 2000

PAULSON INVESTMENT COMPANY LLC

BD
CRD#: 5670
PORTLAND, OR
Past

August 25, 1988 - September 20, 1989

BLINDER, ROBINSON & CO., INC.

BD
CRD#: 5096

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".
OI
ORCA INVESTMENT MANAGEMENT, LLC
CYGNUS CAPITAL LLC | ORCA INVESTMENT MANAGEMENT, LLC

CRD#: 144377 / SEC#: 801-68050

RIA
Registered Investment Advisory firm - (6/25/2007 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.
RR
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

RR
Oregon
(12/12/2024)
IAR
Oregon
(3/19/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/1/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/2/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 9/15/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 6/11/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/20/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/8/2025
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/16/1999
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

OI
ORCA INVESTMENT MANAGEMENT, LLC
CYGNUS CAPITAL LLC | ORCA INVESTMENT MANAGEMENT, LLC

CRD#: 144377 / SEC#: 801-68050

RIA
Registered Investment Advisory firm - (6/25/2007 Approved)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
6 Centerpointe Drive Suite 300, Lake Oswego, OR 97035
Mailing Address
Phone number
(503) 582-9500
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A - 5/20/2024 UPDATE (3/3/2026)

Regulatory assets under management

Total Number of Accounts557
AUM (Assets Under Management)$ 211,654,859

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.

Company Information

ORCA INVESTMENT MANAGEMENT, LLC

CRD#: 144377Portland, OR 97223

TRUST BUT VERIFY

Monitor David Maisel

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Viengsavanh Bounnam
Viengsavanh BounnamAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Vancouver, WA
Devlin William Carothers
Devlin CarothersAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Vancouver, WA
Gregory Scott Bowen
Gregory BowenAdvisorCheck Check Mark
MARINER WEALTH
IAR
RR
Portland, OR
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.