David J. Rosenblum

PROPHET CAPITAL ASSET MANAGEMENT

NEW YORK, NY 10022

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CRD#: 2367263

Professional summary

David Jonathan Rosenblum is a registered financial advisor currently at PROPHET CAPITAL ASSET MANAGEMENT located in New York, New York.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. David has worked at 2 firms and has passed the Series 65, Series 63, Series 3, 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 Jonathan Rosenblum'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

November 18, 2009 - Present

PROPHET CAPITAL ASSET MANAGEMENT

Office #1: 725 Fifth Avenue 22nd Floor, New York, NY 10022

RIA

CRD#: 150683

NEW YORK, NY

Past

September 2, 1993 - August 31, 2009

GOLDMAN SACHS & CO. LLC

CRD#: 361

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".

PROPHET CAPITAL ASSET MANAGEMENT

PROPHET CAPITAL ASSET MANAGEMENT | PROPHET CAPITAL ASSET MANAGEMENT LP

CRD#: 150683 / SEC#: 801-70461

RIA

Registered Investment Advisory firm - (8/24/2009 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

Texas
(11/18/2009)

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: 11/17/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/22/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 11/20/2008

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/1/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/27/2000

General Securities Principal Examination

Current Firm

PROPHET CAPITAL ASSET MANAGEMENT

PROPHET CAPITAL ASSET MANAGEMENT | PROPHET CAPITAL ASSET MANAGEMENT LP

CRD#: 150683 / SEC#: 801-70461

RIA

Registered Investment Advisory firm - (8/24/2009 Approved)

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Contact information

Main Address

303 Colorado Street Ste 2050, Austin, TX 78701

Mailing Address

Phone number

(512) 327-9500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROPHET ADV PART2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	20
AUM (Assets Under Management)	$ 3,282,153,505

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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David J. Rosenblum

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Jonathan Rosenblum's CRS (Customer Relationship Summary).

Certified licenses

Experience

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

PROPHET CAPITAL ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 11/17/2009

Series 63

Date: 11/22/1993

Series 3

Date: 11/20/2008

Series 7

Date: 9/1/1993

Series 24

Date: 3/27/2000

Current Firm

PROPHET CAPITAL ASSET MANAGEMENT

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROPHET CAPITAL ASSET MANAGEMENT

TRUST BUT VERIFY

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