David M. Gallers

WEALTHSPRING CAPITAL LLC

WEST HARRISON, NY 10604

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CRD#: 4467295

Professional summary

David Mitchel Gallers, who also goes by David M. Gallers, David Mitchel Gallers, is a registered financial advisor currently at WEALTHSPRING CAPITAL LLC located in West Harrison, New York.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. David has worked at 3 firms and has passed the Series 65, Series 63, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David M. Gallers | David Mitchel Gallers

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.

I AM MEMBER/OWNER OF DIFF EQ ENTERPRISES LLC, THE ADDRESS IS 9 OLD PARISH RD, DARIEN, CT 06820. I DIRECT AND MANAGE REAL ESTATE INVESTMENTS WHICH STARTED 08/2018. I SPEND APPROXIMATE 1 HOUR PER MONTH. NO ACTIVITY IS DEVOTED DURING NORMAL BUSINESS HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Mitchel Gallers'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

May 6, 2020 - Present

WEALTHSPRING CAPITAL LLC

Office #1: 2 Westchester Park Drive Suite 108, West Harrison, NY 10604

RIA

CRD#: 301040

WEST HARRISON, NY

Past

May 13, 2010 - November 21, 2012

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

November 13, 2001 - May 18, 2010

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

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".

WEALTHSPRING CAPITAL LLC

CRD#: 301040 / SEC#: 801-117460

RIA

Registered Investment Advisory firm - (10/9/2019 Approved)

New York

Registered Investment Advisory firm - (10/22/2019 Terminated)

Texas

Registered Investment Advisory firm - (10/22/2019 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

New York
(7/13/2021)

IAR

Texas
(5/6/2020)

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: 4/5/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/15/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 12/3/2003

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 11/12/2001

General Securities Representative Examination

Current Firm

WEALTHSPRING CAPITAL LLC

CRD#: 301040 / SEC#: 801-117460

RIA

Registered Investment Advisory firm - (10/9/2019 Approved)

New York

Registered Investment Advisory firm - (10/22/2019 Terminated)

Texas

Registered Investment Advisory firm - (10/22/2019 Terminated)

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Contact information

Main Address

2 Westchester Park Drive Suite 108, West Harrison, NY 10604

Mailing Address

Phone number

(914) 419-2207

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A- WEALTHSPRING CAPITAL LLC (3/24/2025)

Regulatory assets under management

Total Number of Accounts	324
AUM (Assets Under Management)	$ 454,865,950

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 M. Gallers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Mitchel Gallers's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS SECURITIES LLC

DEUTSCHE BANK SECURITIES INC.

Primary Firm SEC Registration

WEALTHSPRING CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/5/2019

Series 63

Date: 11/15/2001

Series 55

Date: 12/3/2003

Series 7

Date: 11/12/2001

Current Firm

WEALTHSPRING CAPITAL LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHSPRING CAPITAL LLC

TRUST BUT VERIFY

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