David L. Ruff

ADVISORS CAPITAL MANAGEMENT

Reno, NV 89501

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CRD#: 1955209

Professional summary

David Lee Ruff is a registered financial advisor currently at ADVISORS CAPITAL MANAGEMENT, LLC located in Reno, Nevada.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. David has worked at 7 firms and has passed the Series 63, Series 65, SIE, 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 Lee Ruff'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

October 18, 2018 - Present

ADVISORS CAPITAL MANAGEMENT, LLC

Office #1: 200 W 2nd St, Unit 1106, Reno, NV 89501

RIA

CRD#: 112266

Reno, NV

Past

October 7, 2008 - October 12, 2018

ALPS DISTRIBUTORS, INC.

CRD#: 16853

San Francisco, CA

Past

October 23, 2006 - September 15, 2008

NEWEDGE SECURITIES, LLC

CRD#: 10674

PITTSBURGH, PA

Past

April 29, 2004 - August 5, 2008

BERKELEY CAPITAL MANAGEMENT LLC

RIA

CRD#: 127067

SAN FRANCISCO, CA

Past

June 26, 2002 - June 12, 2003

FDX ADVISORS, INC.

RIA

CRD#: 104601

SACRAMENTO, CA

Past

November 2, 1989 - June 12, 2003

LONDON PACIFIC SECURITIES, INC.

CRD#: 25089

SACRAMENTO, CA

Past

July 27, 1989 - November 6, 1989

LEXINGTON FUNDS DISTRIBUTOR, INC.

CRD#: 8194

SCOTTSDALE, AZ

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".

ADVISORS CAPITAL MANAGEMENT, LLC

CRD#: 112266 / SEC#: 801-62058

RIA

Registered Investment Advisory firm - (5/16/2003 Approved)

Connecticut

Registered Investment Advisory firm - (6/24/2003 Terminated)

Florida

Registered Investment Advisory firm - (12/31/2002 Failure to Renew)

Kentucky

Registered Investment Advisory firm - (6/16/2003 Terminated)

New Jersey

Registered Investment Advisory firm - (6/18/2003 Terminated)

New York

Registered Investment Advisory firm - (6/18/2003 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(10/18/2018)

IAR

Nevada
(6/17/2022)

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: 12/1/2006

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/3/1993

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/17/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/31/1993

General Securities Principal Examination

Current Firm

ADVISORS CAPITAL MANAGEMENT, LLC

CRD#: 112266 / SEC#: 801-62058

RIA

Registered Investment Advisory firm - (5/16/2003 Approved)

Connecticut

Registered Investment Advisory firm - (6/24/2003 Terminated)

Florida

Registered Investment Advisory firm - (12/31/2002 Failure to Renew)

Kentucky

Registered Investment Advisory firm - (6/16/2003 Terminated)

New Jersey

Registered Investment Advisory firm - (6/18/2003 Terminated)

New York

Registered Investment Advisory firm - (6/18/2003 Terminated)

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Contact information

Main Address

10 Wilsey Square Suite 200, Ridgewood, NJ 07450

Mailing Address

Phone number

(201) 447-3400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADVISORS CAPITAL PART 2A DISCLOSURE BROCHURE (3/31/2025)

ACM WEALTH DISCLOSURE BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	14,670
AUM (Assets Under Management)	$ 9,470,063,452

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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Advisor Monitoring

Firm Stability Insights

David L. Ruff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Lee Ruff's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPS DISTRIBUTORS, INC.

NEWEDGE SECURITIES, LLC

BERKELEY CAPITAL MANAGEMENT LLC

FDX ADVISORS, INC.

LONDON PACIFIC SECURITIES, INC.

LEXINGTON FUNDS DISTRIBUTOR, INC.

Primary Firm SEC Registration

ADVISORS CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/1/2006

Series 65

Date: 11/3/1993

SIE

Date: 10/1/2018

Series 7

Date: 6/17/1989

Series 24

Date: 8/31/1993

Current Firm

ADVISORS CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ADVISORS CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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