RD
Richard I. Davis
TRANSCEND CAPITAL ADVISORS
Bloomfield Hills, MI 48304
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CRD#: 4663854
RD
Richard Ivan DavisTRANSCEND CAPITAL ADVISORS
Professional summary
Richard Ivan Davis is a registered financial advisor currently at TRANSCEND CAPITAL ADVISORS, LLC located in Bloomfield Hills, Michigan and ARAX ADVISORY PARTNERS located in Bloomfield Hills, Michigan.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Richard has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
At a Glance
Always Fiduciary
Aliases
None
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) Mr. Davis is dually- registered with Transcend Capital Advisors, LLC and Purshe Kaplan Sterling Investments, Inc. ("PKS"). Mr. Davis has served as an investment advisor representative for Transcend Capital Advisors, LLC and a registered representative with PKS since 02/2022. Business is conducted from 380 N Old Woodward, Suite 175, Birmingham, MI 48009. Approximately 90% of Mr. Davis' time is for services as an investment advisor representative and approximately 5% as a registered representative.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Ivan Davis'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
February 4, 2022 - Present
TRANSCEND CAPITAL ADVISORS, LLC
Office #1: 40705 Woodward Avenue Suite 100, Bloomfield Hills, MI 48304RIA
CRD#: 299723
Bloomfield Hills, MI
Current
August 1, 2026 - Present
ARAX ADVISORY PARTNERS
Office #1: 40705 Woodward Ave. Suite 100, Bloomfield Hills, MI 48304RIA
CRD#: 133535
Bloomfield Hills, MI
Past
November 10, 2011 - February 14, 2022
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
TROY, MI
Past
November 10, 2011 - February 14, 2022
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
TROY, MI
Past
July 2, 2010 - November 15, 2011
GOLDMAN SACHS WEALTH SERVICES, L.P.
RIA
CRD#: 106693
TROY, MI
Past
November 22, 2005 - November 15, 2011
MERCER ALLIED COMPANY, L.P.
BD
CRD#: 37404
TROY, MI
Past
June 16, 2003 - June 26, 2003
CAMBRIDGE GROUP INVESTMENTS, LTD.
BD
CRD#: 47399
LANSING, MI
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".
AA
ARAX ADVISORY PARTNERS
7258 WEALTH MANAGEMENT, INC. | YOUNG WEALTH MANAGEMENT GROUP, INC. | WELLTH PARTNER | THE DAVIS AGENCY, INC. | SUMMIT WEALTH STRATEGIES | SRS INVESTMENT SERVICES, LLC | SRS CAPITAL ADVISORS, LLC | SRS CAPITAL ADVISORS, INC. | SIMONDAVIS, INC. | SIMONDAVIS ASSET MANAGEMENT, INC. | SIMONDAVIS ASSET MANAGEMENT | SEAL FINANCIAL SERVICES | SCHECHTER INVESTMENT ADVISORS | NOVEN FINANCIAL GROUP | NORTE ADVISORS, LLC | KLEINHENZ & ASSOCIATES LTD. | GEORGINA ASSET MANAGEMENT, LLC | ENDURING WEALTH PARTNERS | CEDRUS LLC | AVERA CAPITAL WEALTH MANAGEMENT, LLC | ARAX ADVISORY PARTNERS, LLC | ARAX ADVISORY PARTNERS
CRD#: 133535 / SEC#: 801-67165
RIA
Registered Investment Advisory firm - (9/20/2006 Approved)California
Registered Investment Advisory firm - (10/18/2006 Terminated)Colorado
Registered Investment Advisory firm - (11/14/2006 Terminated)Georgia
Registered Investment Advisory firm - (5/24/2012 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
Michigan(2/4/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AA
ARAX ADVISORY PARTNERS
7258 WEALTH MANAGEMENT, INC. | YOUNG WEALTH MANAGEMENT GROUP, INC. | WELLTH PARTNER | THE DAVIS AGENCY, INC. | SUMMIT WEALTH STRATEGIES | SRS INVESTMENT SERVICES, LLC | SRS CAPITAL ADVISORS, LLC | SRS CAPITAL ADVISORS, INC. | SIMONDAVIS, INC. | SIMONDAVIS ASSET MANAGEMENT, INC. | SIMONDAVIS ASSET MANAGEMENT | SEAL FINANCIAL SERVICES | SCHECHTER INVESTMENT ADVISORS | NOVEN FINANCIAL GROUP | NORTE ADVISORS, LLC | KLEINHENZ & ASSOCIATES LTD. | GEORGINA ASSET MANAGEMENT, LLC | ENDURING WEALTH PARTNERS | CEDRUS LLC | AVERA CAPITAL WEALTH MANAGEMENT, LLC | ARAX ADVISORY PARTNERS, LLC | ARAX ADVISORY PARTNERS
CRD#: 133535 / SEC#: 801-67165
RIA
Registered Investment Advisory firm - (9/20/2006 Approved)California
Registered Investment Advisory firm - (10/18/2006 Terminated)Colorado
Registered Investment Advisory firm - (11/14/2006 Terminated)Georgia
Registered Investment Advisory firm - (5/24/2012 Terminated)Loading...
Contact information
Main Address
730 17th Street Suite 107, Denver, CO 80202
Mailing Address
Phone number
(303) 633-5900
Established
Firm type
Fiscal year end
# of Employees
106
SEC notice filing (34 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 16,559 |
| AUM (Assets Under Management) | $ 8,960,126,874 |
Red Flags
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