David A. Karpa

CLINTON INVESTMENT MANAGEMENT

STAMFORD, CT 06902

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CRD#: 2948276

Professional summary

David Alan Karpa, who also goes by David Karpa, is a registered financial advisor currently at CLINTON INVESTMENT MANAGEMENT, LLC located in Stamford, Connecticut.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. David has worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Karpa

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 Alan Karpa'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

July 29, 2017 - Present

CLINTON INVESTMENT MANAGEMENT, LLC

Office #1: 333 Ludlow Street South Tower 8th Floor, Stamford, CT, 06902

RIA

CRD#: 143599

STAMFORD, CT

Past

November 7, 2003 - November 8, 2005

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

NEW YORK, NY

Past

November 9, 2001 - January 21, 2003

UST SECURITIES CORP.

CRD#: 13906

STAMFORD, CT

Past

March 6, 2000 - August 6, 2001

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

February 27, 1999 - February 2, 2000

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

July 27, 1998 - February 17, 1999

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

June 11, 1998 - June 29, 1998

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

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".

CLINTON INVESTMENT MANAGEMENT, LLC

CRD#: 143599 / SEC#: 801-69342

RIA

Registered Investment Advisory firm - (6/26/2008 Approved)

Connecticut

Registered Investment Advisory firm - (6/26/2008 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

Connecticut
(7/29/2017)

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: 5/21/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/10/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/7/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/8/1998

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 3

Date: 9/10/1997

National Commodity Futures Examination

Current Firm

CLINTON INVESTMENT MANAGEMENT, LLC

CRD#: 143599 / SEC#: 801-69342

RIA

Registered Investment Advisory firm - (6/26/2008 Approved)

Connecticut

Registered Investment Advisory firm - (6/26/2008 Terminated)

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Contact information

Main Address

333 Ludlow Street South Tower 8th Floor, Stamford, CT, 06902

Mailing Address

Phone number

(203) 276-6246

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (37 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CLINTON INVESTMENT MANAGEMENT FORM ADV PART 2A BROCHURE MARCH 20, 2026 (3/20/2026)

Regulatory assets under management

Total Number of Accounts	2,146
AUM (Assets Under Management)	$ 3,906,740,384

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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Firm Stability Insights

David A. Karpa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Alan Karpa's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS ASSET MANAGEMENT (US) INC.

UST SECURITIES CORP.

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUCO SECURITIES, LLC.

HORNOR, TOWNSEND & KENT, LLC

Primary Firm SEC Registration

CLINTON INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/21/1999

Series 63

Date: 6/10/1998

Series 7

Date: 4/7/1999

Series 6

Date: 6/8/1998

Series 3

Date: 9/10/1997

Current Firm

CLINTON INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (37 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CLINTON INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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