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DR

David G. Rauch

KELLEHER FINANCIAL ADVISORS
NEW YORK, NY 10005
Some features on this profile are disabled
CRD#: 2208226
DR

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.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

David Rauch

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 Gordon Rauch'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

December 17, 2015 - Present

KELLEHER FINANCIAL ADVISORS, LLC

Office #1: 100 Wall Street Suite 1501, New York, NY 10005
RIA
CRD#: 126021
NEW YORK, NY
Past

January 10, 2015 - December 31, 2015

SAM ADVISORS, LLC

RIA
CRD#: 133251
NEW YORK, NY
Past

October 16, 2007 - December 31, 2014

SAM ADVISORS, LLC

RIA
CRD#: 133251
NEW YORK, NY
Past

January 28, 2005 - June 22, 2005

SAM ADVISORS, LLC

RIA
CRD#: 133251
NEW YORK, NY
Past

June 14, 2004 - June 22, 2005

SMITH ASSET MANAGEMENT, INC.

RIA
CRD#: 43164
NEW YORK, NY
Past

October 22, 2002 - December 31, 2012

SMITH ASSET MANAGEMENT, INC.

BD
CRD#: 43164
NEW YORK, NY
Past

October 8, 1999 - October 22, 2002

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

July 7, 1995 - October 25, 1999

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

July 11, 1994 - July 13, 1995

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

March 17, 1992 - June 30, 1994

HIBBARD BROWN & CO., INC.

BD
CRD#: 18246
NEW YORK, NY

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".
KF
KELLEHER FINANCIAL ADVISORS, LLC
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

CRD#: 126021 / SEC#: 801-62029

RIA
Registered Investment Advisory firm - (6/9/2003 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.

Highlighted states indicate IAR registrations

IAR
New York
(3/13/2023)
IAR
Pennsylvania
(1/8/2026)
IAR
Texas
(12/17/2015)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/8/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/15/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/16/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/6/2003
General Securities Principal Examination

Current Firm

KF
KELLEHER FINANCIAL ADVISORS, LLC
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

CRD#: 126021 / SEC#: 801-62029

RIA
Registered Investment Advisory firm - (6/9/2003 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
100 Wall Street Suite 804, New York, NY 10005
Mailing Address
Phone number
(212) 709-9400
Established
Firm type
Fiscal year end
# of Employees
13

SEC notice filing (19 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

KELLEHER FINANCIAL ADVISORS FORM ADV PART 2A 04.08.2024 (3/16/2026)

Regulatory assets under management

Total Number of Accounts749
AUM (Assets Under Management)$ 1,153,378,435

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/02/2026
Cover Page
Report
11/21/2024
Cover Page
Report
10/25/2023
Cover Page
Report

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

KELLEHER FINANCIAL ADVISORS, LLC

CRD#: 126021New York, NY 10005

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