Joseph M. Schwab

DEER PARK ROAD MANAGEMENT COMPANY, LP

Steamboat Springs, CO 80487

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CRD#: 2527512

Professional summary

Joseph Michael Schwab is a registered financial advisor currently at DEER PARK ROAD MANAGEMENT COMPANY, LP located in Steamboat Springs, Colorado.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Joseph has worked at 3 firms and has passed the Series 66 and Series 7 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 Joseph Michael Schwab'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®

None

Experience

Current

January 21, 2015 - Present

DEER PARK ROAD MANAGEMENT COMPANY, LP

Office #1: 1195 Bangtail Way, Steamboat Springs, CO 80487

RIA

CRD#: 140370

Steamboat Springs, CO

Past

March 29, 2005 - October 25, 2013

SUMMIT PORTFOLIO ADVISORS, LLC

RIA

CRD#: 134092

STEAMBOAT SPRINGS, CO

Past

November 18, 2003 - September 20, 2004

RBC CAPITAL MARKETS, LLC

CRD#: 31194

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".

DEER PARK ROAD MANAGEMENT COMPANY, LP

CRD#: 140370 / SEC#: 801-74577

RIA

Registered Investment Advisory firm - (4/26/2012 Approved)

Colorado

Registered Investment Advisory firm - (9/10/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Colorado
(1/21/2015)

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 66

Date: 11/26/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 11/17/2003

General Securities Representative Examination

Current Firm

DEER PARK ROAD MANAGEMENT COMPANY, LP

CRD#: 140370 / SEC#: 801-74577

RIA

Registered Investment Advisory firm - (4/26/2012 Approved)

Colorado

Registered Investment Advisory firm - (9/10/2012 Terminated)

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Contact information

Main Address

1195 Bangtail Way, Steamboat Springs, CO 80487

Mailing Address

Phone number

(970) 457-4340

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A (DPRMC) 2025.03.31 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	13
AUM (Assets Under Management)	$ 3,686,280,050

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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Joseph M. Schwab

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Michael Schwab's CRS (Customer Relationship Summary).

Certified licenses

Experience

DEER PARK ROAD MANAGEMENT COMPANY, LP

SUMMIT PORTFOLIO ADVISORS, LLC

RBC CAPITAL MARKETS, LLC

Primary Firm SEC Registration

DEER PARK ROAD MANAGEMENT COMPANY, LP

State Registrations and Notice Filings

Exams

Series 66

Date: 11/26/2003

Series 7

Date: 11/17/2003

Current Firm

DEER PARK ROAD MANAGEMENT COMPANY, LP

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DEER PARK ROAD MANAGEMENT COMPANY, LP

TRUST BUT VERIFY

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