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

David Gordon Roberts

COLDSTREAM WEALTH MANAGEMENT
BELLEVUE, WA
·CRD# 1875134·38 years experience

Professional Summary

David Gordon Roberts is a registered financial advisor currently at COLDSTREAM WEALTH MANAGEMENT located in Bellevue, Washington and COLDSTREAM SECURITIES, INC. located in Bellevue, Washington. 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 5 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

Similar Advisors

Gregg Michael Quinn
Gregg Michael Quinn

AMERIPRISE FINANCIAL SERVICES, LLC

Redmond, WA · CRD#
View profile
SEATTLE, WA · CRD#
Kyle Vann Mylius
Kyle Vann Mylius

HUMANIZE WEALTH

Seattle, WA · CRD#
Alyssa Marie Jarman
Alyssa Marie Jarman

OSAIC WEALTH, INC.

SEATTLE, WA · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Gregg Michael Quinn
Gregg Michael Quinn

AMERIPRISE FINANCIAL SERVICES, LLC

Redmond, WA · CRD#
SEATTLE, WA · CRD#
Kyle Vann Mylius
Kyle Vann Mylius

HUMANIZE WEALTH

Seattle, WA · CRD#
Alyssa Marie Jarman
Alyssa Marie Jarman

OSAIC WEALTH, INC.

SEATTLE, WA · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

Similar Advisors

Gregg Michael Quinn
Gregg Michael Quinn

AMERIPRISE FINANCIAL SERVICES, LLC

Redmond, WA · CRD#
SEATTLE, WA · CRD#
Kyle Vann Mylius
Kyle Vann Mylius

HUMANIZE WEALTH

Seattle, WA · CRD#
Alyssa Marie Jarman
Alyssa Marie Jarman

OSAIC WEALTH, INC.

SEATTLE, WA · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

Similar Advisors

Gregg Michael Quinn
Gregg Michael Quinn

AMERIPRISE FINANCIAL SERVICES, LLC

Redmond, WA · CRD#
SEATTLE, WA · CRD#
Kyle Vann Mylius
Kyle Vann Mylius

HUMANIZE WEALTH

Seattle, WA · CRD#
Alyssa Marie Jarman
Alyssa Marie Jarman

OSAIC WEALTH, INC.

SEATTLE, WA · CRD#

Years of Experience

38 years in the financial services industry

Current & Past Employments

COLDSTREAM WEALTH MANAGEMENT·CRD# 108805
RIA
One - 100th Avenue Ne Suite 102, Bellevue, WA 98004
November 27, 2020 - Present
COLDSTREAM SECURITIES, INC.·CRD# 46835
BD
One 100th Avenue Ne Suite 102, Bellevue, WA 98004
June 27, 2018 - Present
CASCADIA CAPITAL, LLC·CRD# 101020
BD
Seattle, WA
January 1, 2014 - June 25, 2018
COLDSTREAM WEALTH MANAGEMENT·CRD# 132486
RIA
Bellevue, WA
September 16, 2004 - December 31, 2020
CINCINNATI ANALYSTS, INC.·CRD# 5478
RIA
Seattle, WA
August 22, 1990 - December 31, 2004
CINCINNATI ANALYSTS, INC.·CRD# 5478
BD
Cincinnati, OH
October 11, 1988 - December 31, 2004

Similar Advisors

Gregg Michael Quinn
Gregg Michael Quinn

AMERIPRISE FINANCIAL SERVICES, LLC

Redmond, WA · CRD#
SEATTLE, WA · CRD#
Kyle Vann Mylius
Kyle Vann Mylius

HUMANIZE WEALTH

Seattle, WA · CRD#
Alyssa Marie Jarman
Alyssa Marie Jarman

OSAIC WEALTH, INC.

SEATTLE, WA · CRD#

Current Firm

CW
COLDSTREAM WEALTH MANAGEMENT

COLDSTREAM | COLDSTREAM WEALTH MANAGEMENT | COLDSTREAM CAPITAL MANAGEMENT INC

CRD#: 108805 / SEC#: 801-39379
RIA
Registered Investment Advisory firm - SEC (7/23/1991 Approved)

Contact Information

Main Address

One - 100th Avenue Ne Suite 102, Bellevue, WA 98004

Phone Number

(425) 283-1600

# of Employees

207

SEC notice filing (34 States and Territories)

Registered to provide investment advisory services in 34 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV - PART 2A - CWM - 2025 06 17 (3/30/2026)

Regulatory Assets Under Management

Total Number of Accounts

4,386

AUM (Assets Under Management)

$13,925,235,705

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
09/25/2025Cover PageReport
08/27/2024Cover PageReport
09/29/2023Cover PageReport

Similar Advisors

Gregg Michael Quinn
Gregg Michael Quinn

AMERIPRISE FINANCIAL SERVICES, LLC

Redmond, WA · CRD#
SEATTLE, WA · CRD#
Kyle Vann Mylius
Kyle Vann Mylius

HUMANIZE WEALTH

Seattle, WA · CRD#
Alyssa Marie Jarman
Alyssa Marie Jarman

OSAIC WEALTH, INC.

SEATTLE, WA · CRD#

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.

DAVE ROBERTS IS EMPLOYED BY THE RAINIER GROUP, INC., WHICH IS OWNED BY COLDSTREAM HOLDINGS, INC. DAVE'S PRIMARY BUSINESS ACTIVITY IS SERVING AS A BUSINESS TRANSITION CONSULTANT TO PRIVATELY HELD COMPANIES UNDER RAINIER GROUP CONSULTING (RGC), WHICH IS OWNED BY COLDSTREAM HOLDINGS, INC. DAVE IS PAID A SALARY AND BONUS AT RGC. DAVE IS ALSO A MEMBER OF CONSENZA LLC, A NEVADA LLC. DAVE SPENDS NO MORE THAN 5% OF HIS TIME IN TOTAL ATTENDING TO DIRECTOR DUTIES. I CURRENTLY SERVE ON THE BOARD OF THE FOLLOWING: 1)BRENNAN HOLDINGS, LOCATED AT 121 SOUTH MAIN STREET, AKRON, OHIO, MY START DATE WAS IN 2010, THE BUSINESS IS NOT INVESTMENT RELATED, I DEVOTE LESS THAN 15 HOURS PER MONTH, TIME DEVOTED DURING SECURITIES TRADING HOURS IS LIMITED. 2)CANAM INDUSTRIES, LOCATED AT 50 OAK COURT, DANVILLE, CA, MY START DATE WAS IN 2015, THE BUSINESS IS NOT INVESTMENT-RELATED, I DEVOTE 1 HOUR PER MONTH TO THIS BUSINESS. 3)COLDSTREAM CAPITAL, LOCATED AT ONE 100TH AVE NE SUITE 102, BELLEVUE, WA , MY START DATE WAS IN 2017, THE BUSINESS IS INVESTMENT-RELATED, I DEVOTE 3-4 HOURS PER MONTH TO THIS BUSINESS, TIME DEVOTED DURING SECURITIES TRADING HOURS IS LIMITED. 4) Superior Tank Lines in Colton CA, start date in 2021. Business is not investment related; devote 2 hours per month to this business

Similar Advisors

Gregg Michael Quinn
Gregg Michael Quinn

AMERIPRISE FINANCIAL SERVICES, LLC

Redmond, WA · CRD#
SEATTLE, WA · CRD#
Kyle Vann Mylius
Kyle Vann Mylius

HUMANIZE WEALTH

Seattle, WA · CRD#
Alyssa Marie Jarman
Alyssa Marie Jarman

OSAIC WEALTH, INC.

SEATTLE, WA · CRD#

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".
CW
COLDSTREAM WEALTH MANAGEMENT

COLDSTREAM | COLDSTREAM WEALTH MANAGEMENT | COLDSTREAM CAPITAL MANAGEMENT INC

CRD#: 108805 / SEC#: 801-39379
RIA
Registered Investment Advisory firm - SEC (7/23/1991 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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
California
(6/27/2018)
IAR
California
(12/14/2023)
RR
Oregon
(8/30/2018)
RR
Washington
(6/27/2018)
IAR
Washington
(11/27/2020)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 2014About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 79 — Investment Banking Registered Representative Examination

Passed Dec 2013About the Series 79 exam

Series 7 — General Securities Representative Examination

Passed Sep 1988About the Series 7 exam
FINRA
SRO Registrations

Similar Advisors

Gregg Michael Quinn
Gregg Michael Quinn

AMERIPRISE FINANCIAL SERVICES, LLC

Redmond, WA · CRD#
SEATTLE, WA · CRD#
Kyle Vann Mylius
Kyle Vann Mylius

HUMANIZE WEALTH

Seattle, WA · CRD#
Alyssa Marie Jarman
Alyssa Marie Jarman

OSAIC WEALTH, INC.

SEATTLE, WA · CRD#

CRS (Client Relationship Summary) - RIA

Click below to view David Gordon Roberts's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Similar Advisors

Gregg Michael Quinn
Gregg Michael Quinn

AMERIPRISE FINANCIAL SERVICES, LLC

Redmond, WA · CRD#
SEATTLE, WA · CRD#
Kyle Vann Mylius
Kyle Vann Mylius

HUMANIZE WEALTH

Seattle, WA · CRD#
Alyssa Marie Jarman
Alyssa Marie Jarman

OSAIC WEALTH, INC.

SEATTLE, WA · CRD#
DR
Follow David
Get alerted to job moves, licensing changes, and new disclosures
Free — no card required