David G. Rauch

KELLEHER FINANCIAL ADVISORS

New York, NY 10005

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CRD#: 2208226

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 804, 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.

CRD#: 43164

NEW YORK, NY

Past

October 8, 1999 - October 22, 2002

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 7, 1995 - October 25, 1999

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

July 11, 1994 - July 13, 1995

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

March 17, 1992 - June 30, 1994

HIBBARD BROWN & CO., INC.

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".

KELLEHER FINANCIAL ADVISORS, LLC

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

Texas
(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

State Security Law Exam

IAR

Series 65

Date: 3/8/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/15/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/16/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/6/2003

General Securities Principal Examination

Current Firm

KELLEHER FINANCIAL ADVISORS, LLC

CRD#: 126021 / SEC#: 801-62029

RIA

Registered Investment Advisory firm - (6/9/2003 Approved)

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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

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KELLEHER FINANCIAL ADVISORS FORM ADV PART 2A 04.08.2024 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	648
AUM (Assets Under Management)	$ 1,025,582,365

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/21/2024	Cover Page	Report
10/25/2023	Cover Page	Report
02/28/2023	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.

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Advisor Monitoring

Firm Stability Insights

David G. Rauch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

SAM ADVISORS, LLC

SAM ADVISORS, LLC

SAM ADVISORS, LLC

SMITH ASSET MANAGEMENT, INC.

SMITH ASSET MANAGEMENT, INC.

CITIGROUP GLOBAL MARKETS INC.

J.P. MORGAN SECURITIES LLC

LADENBURG THALMANN & CO. INC.

HIBBARD BROWN & CO., INC.

Primary Firm SEC Registration

KELLEHER FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/8/2023

Series 63

Date: 1/15/1992

Series 7

Date: 3/16/1992

Series 24

Date: 8/6/2003

Current Firm

KELLEHER FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KELLEHER FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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