DF
David W. Frank
XYPN INVEST
Los Angeles, CA
Some features on this profile are disabled
CRD#: 4033093
DF
Professional summary
David William Frank MR., who also goes by David W Frank Mr., is a registered financial advisor currently at XYPN INVEST located in Los Angeles, California.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. David has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David W Frank Mr.
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.
CRS (Client Relationship Summary) - RIA
Click below to view David William Frank MR.'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
January 12, 2025 - Present
XYPN INVEST
RIA
CRD#: 285967
Los Angeles, CA
Past
April 8, 2020 - July 30, 2025
TURNING POINT PLANNING LLC
RIA
CRD#: 308434
LOS ANGELES, CA
Past
February 12, 2003 - January 29, 2007
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
CHICAGO, IL
Past
February 11, 2002 - January 27, 2003
THIRD500, LLC
BD
CRD#: 115542
WILMETTE, IL
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".
XI
XYPN INVEST
ADELPHI LLC | XYPN SAPPHIRE | XYPN INVEST | XYIS | XY INVESTMENT SOLUTIONS, LLC | WINDJAMMER WEALTH | WEALTHPEACE | WEALTH MANAGEMENT OF ALABAMA | VITA WEALTH MANAGEMENT | VERBATIM FINANCIAL | TURNING POINT FINANCIAL LIFE PLANNING | TROPHY POINT FINANCIAL PLANNING | TENERE WEALTH ADVISORS | TEN RING WEALTH ADVISORS | STRINGER ASSET MANAGEMENT, LLC | SCHOLAR FINANCIAL | REFRESH WEALTH | QUIET WEALTH | PURPOSEFUL MONEY | ONYX FINANCIAL | NEWLEAF FINANCIAL GUIDANCE | MOMENTOUS WEALTH ADVISORS | MERION PERSONAL FINANCE | LIGHTHOUSE PLANNING | J.B. WEALTH STRATEGIES | INTREPID FINANCIAL SERVICES | HUNDRED FINANCIAL PLANNING | EVIDENTIA WEALTH ADVISORS | ELATION WEALTH, LLC | DISCOVERY WEALTH MANAGEMENT | DELTA LAKE WEALTH MANAGEMENT LLC | CONLEY CAPITAL MANAGEMENT | CLEAR SKIES PLANNING & WEALTH STRATEGIES, INC | CLEAR SKIES PLANNING | CHARLES MICHAEL FINANCIAL | CAROLINA WEALTH PLANNERS | BIRDIE RETIREMENT PLANNING | BEECHMONT FINANCIAL | ARDENT GUARDIAN WEALTH ADVISORY | ADELPHI WEALTH ADVISORY
CRD#: 285967 / SEC#: 801-118916
RIA
Registered Investment Advisory firm - (6/12/2020 Approved)Connecticut
Registered Investment Advisory firm - (6/23/2020 Terminated)Illinois
Registered Investment Advisory firm - (6/19/2020 Terminated)Montana
Registered Investment Advisory firm - (6/19/2020 Terminated)North Carolina
Registered Investment Advisory firm - (6/22/2020 Terminated)Texas
Registered Investment Advisory firm - (6/19/2020 Terminated)Virginia
Registered Investment Advisory firm - (6/26/2020 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.Highlighted states indicate IAR registrations
IAR
California(1/13/2025)
IAR
Louisiana(7/30/2025)
IAR
Texas(1/12/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
XI
XYPN INVEST
ADELPHI LLC | XYPN SAPPHIRE | XYPN INVEST | XYIS | XY INVESTMENT SOLUTIONS, LLC | WINDJAMMER WEALTH | WEALTHPEACE | WEALTH MANAGEMENT OF ALABAMA | VITA WEALTH MANAGEMENT | VERBATIM FINANCIAL | TURNING POINT FINANCIAL LIFE PLANNING | TROPHY POINT FINANCIAL PLANNING | TENERE WEALTH ADVISORS | TEN RING WEALTH ADVISORS | STRINGER ASSET MANAGEMENT, LLC | SCHOLAR FINANCIAL | REFRESH WEALTH | QUIET WEALTH | PURPOSEFUL MONEY | ONYX FINANCIAL | NEWLEAF FINANCIAL GUIDANCE | MOMENTOUS WEALTH ADVISORS | MERION PERSONAL FINANCE | LIGHTHOUSE PLANNING | J.B. WEALTH STRATEGIES | INTREPID FINANCIAL SERVICES | HUNDRED FINANCIAL PLANNING | EVIDENTIA WEALTH ADVISORS | ELATION WEALTH, LLC | DISCOVERY WEALTH MANAGEMENT | DELTA LAKE WEALTH MANAGEMENT LLC | CONLEY CAPITAL MANAGEMENT | CLEAR SKIES PLANNING & WEALTH STRATEGIES, INC | CLEAR SKIES PLANNING | CHARLES MICHAEL FINANCIAL | CAROLINA WEALTH PLANNERS | BIRDIE RETIREMENT PLANNING | BEECHMONT FINANCIAL | ARDENT GUARDIAN WEALTH ADVISORY | ADELPHI WEALTH ADVISORY
CRD#: 285967 / SEC#: 801-118916
RIA
Registered Investment Advisory firm - (6/12/2020 Approved)Connecticut
Registered Investment Advisory firm - (6/23/2020 Terminated)Illinois
Registered Investment Advisory firm - (6/19/2020 Terminated)Montana
Registered Investment Advisory firm - (6/19/2020 Terminated)North Carolina
Registered Investment Advisory firm - (6/22/2020 Terminated)Texas
Registered Investment Advisory firm - (6/19/2020 Terminated)Virginia
Registered Investment Advisory firm - (6/26/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
24 E. Main Street, Bozeman, MT 59715
Mailing Address
Phone number
(360) 301-7579
Established
Firm type
Fiscal year end
# of Employees
32
SEC notice filing (35 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,539 |
| AUM (Assets Under Management) | $ 321,042,677 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
