DR
David G. Roberts
COLDSTREAM WEALTH MANAGEMENT
Bellevue, WA 98004
Some features on this profile are disabled
CRD#: 1875134
DR
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.
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.
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
CRS (Client Relationship Summary) - RIA
Click below to view David Gordon Roberts's 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®
NoneExperience
Current
November 27, 2020 - Present
COLDSTREAM WEALTH MANAGEMENT
Office #1: One - 100th Avenue Ne Suite 102, Bellevue, WA 98004RIA
CRD#: 108805
Bellevue, WA
Current
June 27, 2018 - Present
COLDSTREAM SECURITIES, INC.
Office #1: One 100th Avenue Ne Suite 102, Bellevue, WA 98004BD
CRD#: 46835
Bellevue, WA
Past
January 1, 2014 - June 25, 2018
CASCADIA CAPITAL, LLC
BD
CRD#: 101020
SEATTLE, WA
Past
September 16, 2004 - December 31, 2020
COLDSTREAM WEALTH MANAGEMENT
RIA
CRD#: 132486
BELLEVUE, WA
Past
August 22, 1990 - December 31, 2004
CINCINNATI ANALYSTS, INC.
RIA
CRD#: 5478
SEATTLE, WA
Past
October 11, 1988 - December 31, 2004
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
CINCINNATI, OH
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 - (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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
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)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CW
COLDSTREAM WEALTH MANAGEMENT
COLDSTREAM | COLDSTREAM WEALTH MANAGEMENT | COLDSTREAM CAPITAL MANAGEMENT INC
CRD#: 108805 / SEC#: 801-39379
RIA
Registered Investment Advisory firm - (7/23/1991 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
One - 100th Avenue Ne Suite 102, Bellevue, WA 98004
Mailing Address
Phone number
(425) 283-1600
Established
Firm type
Fiscal year end
# of Employees
195
SEC notice filing (33 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,519 |
| AUM (Assets Under Management) | $ 12,438,532,202 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 | ||
| 08/27/2024 | ||
| 09/29/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
