David A. Kelly

THREE LAKES ADVISORS

Greenwich, CT

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CRD#: 2778402

Professional summary

David Austin Kelly, CFA, who also goes by David A. Kelly, David Kelly, is a registered financial advisor currently at THREE LAKES ADVISORS, INC. located in Greenwich, Connecticut.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. David has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David A. Kelly | David Kelly

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.

Since August 11, 2015, Mr. Kelly has been serving as an independent Trustee of the TrimTabs ETF Trust, an Exchange Traded Fund that is registered with the SEC as a management investment company. The Trust was acquired by an Exchange Traded Fund based in Orlando, Florida, and is now known as the Abacus FCF ETF Trust. Mr. Kelly remains as an independent trustee of the Trust. The Trust maintains its principal office at 2101 Park Center Drive, Suite 250, Orlando, Florida 32835. Mr. Kelly estimates that he devotes an average of approximately eight hours per month to the business of the Trust, some of which is during trading hours. Mr. Kelly does not believe his obligations to the Trust interfere with his obligations to Clients of Three Lakes Advisors, Inc.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Austin Kelly'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®

CFA

Chartered Financial Analyst

Experience

Current

January 16, 2024 - Present

THREE LAKES ADVISORS, INC.

RIA

CRD#: 110103

Greenwich, CT

Past

January 13, 2020 - December 31, 2023

THREE LAKES ADVISORS, INC.

RIA

CRD#: 110103

GREENWICH, CT

Past

May 2, 1997 - December 31, 2019

THREE LAKES ADVISORS, INC.

RIA

CRD#: 110103

GREENWICH, CT

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

Connecticut
(1/16/2024)

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: 7/17/1996

Uniform Investment Adviser Law Examination

Current Firm

THREE LAKES ADVISORS, INC.

KELLY, DAVID AUSTIN | THREE LAKES ADVISORS, INC.

CRD#: 110103 / SEC#:

Connecticut

Registered Investment Advisory firm - (1/16/2024 Approved)

New York

Registered Investment Advisory firm - (12/11/2023 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).

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Contact information

Main Address

Greenwich, CT

Mailing Address

Phone number

(203) 869-4046

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	15
AUM (Assets Under Management)	$ 18,547,900

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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David A. Kelly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Austin Kelly's CRS (Customer Relationship Summary).

Certified licenses

Experience

THREE LAKES ADVISORS, INC.

THREE LAKES ADVISORS, INC.

THREE LAKES ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/17/1996

Current Firm

THREE LAKES ADVISORS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

THREE LAKES ADVISORS, INC.

TRUST BUT VERIFY

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