Douglas S. Raetz

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CRD#: 3118886

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Douglas Scott Raetz, who also goes by Douglas Raetz, was a registered financial professional .

Douglas is a previously registered financial professional and started their career in finance in 1998. Douglas had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Aliases

Douglas Raetz

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) Proto; investment-related; 1759 Glendale Blvd, Los Angeles, CA 90026; Board Member; 10/2021; 1 hour per month; 2) Positive Coaching Alliance; not investment-related; 66 Franklin Street, Suite 300, Oakland, CA 94607; Board Member; 01/2018; 1 hour per month 3) TCRE; investment-related; 101 Montgomery Street, Suite 2800, San Francisco, CA 94104; Managing Member; 2012; 1 hour per month 4) TCMV; investment-related; 101 Montgomery Street, Suite 2800, San Francisco, CA 94104; Managing Member; 2010; 1 hour per month 5) True Capital Fitness, LLC; investment related; 101 California Street Suite 4200, San Francisco, CA 94111; manages various investments for the business; 6-10 hours per month, none of which are during securities trading hours; start 7/17/2023.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 1, 2023 - August 3, 2026

CRESSET ASSET MANAGEMENT, LLC

RIA

CRD#: 288566

San Francisco, CA

Past

March 8, 2007 - May 8, 2023

TRUE CAPITAL MANAGEMENT

RIA

CRD#: 142962

SAN FRANCISCO, CA

Past

April 6, 2001 - March 12, 2007

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SAN FRANCISCO, CA

Past

February 10, 2001 - March 12, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SAN FRANCISCO, CA

Past

January 12, 2000 - November 24, 2000

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

September 23, 1998 - December 31, 1999

BNY MELLON SECURITIES CORPORATION

CRD#: 231

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".

CRESSET ASSET MANAGEMENT, LLC

CRD#: 288566 / SEC#: 801-110753

RIA

Registered Investment Advisory firm - (7/10/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 2/16/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/21/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/3/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/18/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CRESSET ASSET MANAGEMENT, LLC

CRD#: 288566 / SEC#: 801-110753

RIA

Registered Investment Advisory firm - (7/10/2017 Approved)

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Contact information

Main Address

444 W. Lake Street Suite 4700, Chicago, IL 60606

Mailing Address

Phone number

(312) 429-2400

Established

Firm type

Fiscal year end

# of Employees

468

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CRESSET ASSET MANAGEMENT, LLC FORM ADV2A ("DISCLOSURE BROCHURE") AND APPENDIX 1 ("WRAP FEE BROCHURE") (10/29/2025)

Regulatory assets under management

Total Number of Accounts	42,546
AUM (Assets Under Management)	$ 71,864,303,961

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/10/2025	Cover Page	Report
10/09/2024	Cover Page	Report
11/20/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Douglas S. Raetz

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRUE CAPITAL MANAGEMENT

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

PRUDENTIAL EQUITY GROUP, LLC

BNY MELLON SECURITIES CORPORATION

Primary Firm SEC Registration

CRESSET ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/16/2000

Series 63

Date: 9/21/1998

Series 7

Date: 4/3/2000

Series 6

Date: 9/18/1998

Current Firm

CRESSET ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CRESSET ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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