David Gordon Rauch
Professional Summary
David Gordon Rauch, who also goes by David Rauch, is a registered financial advisor currently at KELLEHER FINANCIAL ADVISORS, LLC located in New York, New York. David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. David has worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
David Rauch
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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.
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Years of Experience
34 years in the financial services industry
Current & Past Employments
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Current Firm
BATTERY PARK CAPITAL | WALL STREET ADVISORS LLC | WALL STREET ACCESS WEALTH MANAGEMENT | WALL STREET ACCESS ASSET MANAGEMENT, LLC | WALL STREET ACCESS ADVANCED STRATEGIES, LLC | STARBOARD ADVISORS | NU PARADIGM INVESTMENT PARTNERS | KELLEHER FINANCIAL ADVISORS. LLC | KELLEHER FINANCIAL ADVISORS, LLC | KELLEHER FAMILY WEALTH MANAGEMENT
Contact Information
Main Address
100 Wall Street Suite 1501, New York, NY 10005Phone Number
(212) 709-9400# of Employees
13SEC notice filing (19 States and Territories)
Registered to provide investment advisory services in 19 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
749AUM (Assets Under Management)
$1,153,378,435Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/02/2026 | Cover Page | Report |
| 11/21/2024 | Cover Page | Report |
| 10/25/2023 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
BATTERY PARK CAPITAL | WALL STREET ADVISORS LLC | WALL STREET ACCESS WEALTH MANAGEMENT | WALL STREET ACCESS ASSET MANAGEMENT, LLC | WALL STREET ACCESS ADVANCED STRATEGIES, LLC | STARBOARD ADVISORS | NU PARADIGM INVESTMENT PARTNERS | KELLEHER FINANCIAL ADVISORS. LLC | KELLEHER FINANCIAL ADVISORS, LLC | KELLEHER FAMILY WEALTH MANAGEMENT
State Registrations and Notice Filings
(3/13/2023)
(1/8/2026)
(12/17/2015)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view David Gordon Rauch's CRS (Customer Relationship Summary).
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