DK
David M. King
USCA ASSET MANAGEMENT
HOUSTON, TX 77027
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CRD#: 2446459
DK
David Michael KingUSCA ASSET MANAGEMENT
Professional summary
David Michael King is a registered financial advisor currently at USCA ASSET MANAGEMENT LLC located in Houston, Texas and ARAX ADVISORY PARTNERS located in Houston, Texas.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. David has worked at 11 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31, Series 7 and Series 24 exams.
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.
1. Badger Midstream Energy, LP is investment-related and located in Houston, TX. Has served as a director for an energy-related entity since 2012 and duties include voting, approval of budget and other activities. Spends about 2.5 hours per month on this activity, 1.5 hours are during securities trading hours. 2. 13 Capital, LLC is investment-related and located in Austin, Texas. Has served as a Managing Partner for this investment adviser responsible for 13Capital Energy Transition Fund 1 since 2022, and duties include overseeing the Fund and its investments. Spends about 12 hours a month on this activity, 8 of those hours during securities trading hours. 3. USCA Investment Holdings is investment-related and located in Houston, TX. Has served as Managing Partner for this entity which oversees multiple feeder funds previously offered since 2012 and duties include overseeing the management of the entity. Spends about 6 hours a month on this activity, 4 of those during securities trading hours. 4. USCA Asset Management, LLC is investment-related and located in Houston, TX. Has served as Managing Partner of this SEC registered investment advisor since 2018 and duties include overseeing the management of the entity. Spends about 4 hours per month on this activity, 3 of those hours during securities trading hours. 5. USCA, LLC is investment-related and located in Houston, TX. Has served as Managing Partner for this parent company of USCA Asset Management and USCA Investment Holdings since 2009 and duties include overseeing the management of the entity. Spends about 25 hours a month on this activity, 15 of those during securities trading hours. 6. USCA Futurum Fund is investment-related and is located in Houston, TX. Has served as Portfolio Manager for this private fund since 2022 and duties include overseeing the Fund and its investments. Spends about 12 hours a month on this activity, 8 of those hours are during securities trading hours. 7. Arena Blanco is not investment-related and located in Houston, TX. Has served as Owner of this rental property since 2017 and duties include the management of the property. Spends about 6 hours a month on this activity, not during securities trading hours. 8. Energy Transition Venture Fund 1 Advisory Committee is investment-related and located in Houston, TX. Has served as a Member of the LPAC for ETV Fund 1, a venture capital fund, since 2022 and duties include voting on matters brought before the LPAC. Spends less than an hour a month on this activity, none during securities trading hours. 9. Southpaw Interests, LLC, is investment-related and located in Houston, TX. Has served as Managing Member since 2021 and duties include making personal investments in this LLC. Spends about 2 hours a month on this activity, during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view David Michael King's 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®
NoneExperience
Current
October 26, 2023 - Present
USCA ASSET MANAGEMENT LLC
Office #1: 4444 Westheimer Suite G500, Houston, TX 77027RIA
CRD#: 137045
HOUSTON, TX
Current
July 19, 2026 - Present
ARAX ADVISORY PARTNERS
Office #1: 4444 Westheimer Road Suite G500, Houston, TX 77027RIA
CRD#: 133535
Houston, TX
Current
January 13, 2011 - Present
USCA SECURITIES LLC
Office #1: 4444 Westheimer Suite G500, Houston, TX 77027BD
CRD#: 103789
HOUSTON, TX
Past
June 30, 2021 - July 21, 2026
U.S. CAPITAL WEALTH ADVISORS, LLC
RIA
CRD#: 288199
AUSTIN, TX
Past
March 29, 2016 - August 24, 2021
USCA ASSET MANAGEMENT LLC
RIA
CRD#: 137045
HOUSTON, TX
Past
January 13, 2011 - June 30, 2021
USCA RIA LLC
RIA
CRD#: 152170
HOUSTON, TX
Past
July 3, 2002 - January 21, 2011
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
HOUSTON, TX
Past
July 3, 2002 - January 21, 2011
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
HOUSTON, TX
Past
January 13, 2001 - July 11, 2002
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
April 7, 1999 - January 13, 2001
DB ALEX. BROWN LLC
BD
CRD#: 17790
BALTIMORE, MD
Past
August 17, 1995 - April 14, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
July 21, 1994 - December 31, 1994
PACIFIC CORTEZ SECURITIES INCORPORATED
BD
CRD#: 24341
SAN DIEGO, CA
Past
February 24, 1994 - July 27, 1994
MOORS & CABOT, INC.
BD
CRD#: 594
BOSTON, MA
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".
AA
ARAX ADVISORY PARTNERS
7258 WEALTH MANAGEMENT, INC. | YOUNG WEALTH MANAGEMENT GROUP | WELLTH PARTNER | U.S. CAPITAL WEALTH ADVISORS | U.S. CAPITAL WEALTH | TRANSCEND CAPITAL ADVISORS | THE OAK GROUP | THE DAVIS AGENCY, INC. | SUMMIT WEALTH STRATEGIES | SRS INVESTMENT SERVICES, LLC | SRS CAPITAL ADVISORS, LLC | SRS CAPITAL ADVISORS, INC. | SRS CAPITAL ADVISORS | SIMONDAVIS, INC. | SIMONDAVIS ASSET MANAGEMENT, INC. | SIMONDAVIS ASSET MANAGEMENT | SEAL FINANCIAL SERVICES | SCHECHTER INVESTMENT ADVISORS | OMNI FINANCIAL ADVISORY GROUP | NOVEN FINANCIAL GROUP | NORTE ADVISORS | MILLARES ASSET MANAGEMENT | LOGIX INVESTMENTS | KLEINHENZ & ASSOCIATES | GFP PRIVATE WEALTH | GEORGINA ASSET MANAGEMENT | ENDURING WEALTH PARTNERS | CEDRUS | AVERA CAPITAL WEALTH MANAGEMENT | ARAX WEALTH | ARAX ADVISORY PARTNERS, LLC | ARAX ADVISORY PARTNERS
CRD#: 133535 / SEC#: 801-67165
RIA
Registered Investment Advisory firm - (9/20/2006 Approved)California
Registered Investment Advisory firm - (10/18/2006 Terminated)Colorado
Registered Investment Advisory firm - (11/14/2006 Terminated)Georgia
Registered Investment Advisory firm - (5/24/2012 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/13/2011)
RR
Alaska(2/28/2022)
RR
Arizona(1/13/2011)
RR
California(1/13/2011)
RR
Colorado(1/13/2011)
RR
Connecticut(1/13/2011)
RR
Delaware(1/13/2011)
RR
Florida(1/13/2011)
RR
Georgia(1/13/2011)
RR
Hawaii(2/1/2016)
RR
Illinois(1/13/2011)
RR
Kansas(1/20/2011)
RR
Massachusetts(1/13/2011)
RR
Michigan(1/13/2011)
RR
Minnesota(1/13/2011)
RR
Missouri(2/4/2011)
RR
New Jersey(1/13/2011)
RR
New Mexico(1/13/2011)
RR
New York(1/13/2011)
RR
North Carolina(1/13/2011)
RR
Ohio(1/14/2011)
RR
Oklahoma(1/13/2011)
RR
Oregon(1/13/2011)
RR
Pennsylvania(1/13/2011)
RR
South Carolina(4/13/2020)
RR
Texas(1/13/2011)
IAR
Texas(10/26/2023)
RR
Vermont(2/8/2011)
RR
Wisconsin(1/27/2011)
RR
Wyoming(1/13/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AA
ARAX ADVISORY PARTNERS
7258 WEALTH MANAGEMENT, INC. | YOUNG WEALTH MANAGEMENT GROUP | WELLTH PARTNER | U.S. CAPITAL WEALTH ADVISORS | U.S. CAPITAL WEALTH | TRANSCEND CAPITAL ADVISORS | THE OAK GROUP | THE DAVIS AGENCY, INC. | SUMMIT WEALTH STRATEGIES | SRS INVESTMENT SERVICES, LLC | SRS CAPITAL ADVISORS, LLC | SRS CAPITAL ADVISORS, INC. | SRS CAPITAL ADVISORS | SIMONDAVIS, INC. | SIMONDAVIS ASSET MANAGEMENT, INC. | SIMONDAVIS ASSET MANAGEMENT | SEAL FINANCIAL SERVICES | SCHECHTER INVESTMENT ADVISORS | OMNI FINANCIAL ADVISORY GROUP | NOVEN FINANCIAL GROUP | NORTE ADVISORS | MILLARES ASSET MANAGEMENT | LOGIX INVESTMENTS | KLEINHENZ & ASSOCIATES | GFP PRIVATE WEALTH | GEORGINA ASSET MANAGEMENT | ENDURING WEALTH PARTNERS | CEDRUS | AVERA CAPITAL WEALTH MANAGEMENT | ARAX WEALTH | ARAX ADVISORY PARTNERS, LLC | ARAX ADVISORY PARTNERS
CRD#: 133535 / SEC#: 801-67165
RIA
Registered Investment Advisory firm - (9/20/2006 Approved)California
Registered Investment Advisory firm - (10/18/2006 Terminated)Colorado
Registered Investment Advisory firm - (11/14/2006 Terminated)Georgia
Registered Investment Advisory firm - (5/24/2012 Terminated)Loading...
Contact information
Main Address
10 East 53rd Street 14th Floor, New York, NY 10022
Mailing Address
Phone number
(646) 777-1823
Established
Firm type
Fiscal year end
# of Employees
361
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 39,138 |
| AUM (Assets Under Management) | $ 26,524,973,206 |
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.
