Richard I. Davis

TRANSCEND CAPITAL ADVISORS

Bloomfield Hills, MI 48304

Some features on this profile are disabled

CRD#: 4663854

Professional summary

Richard Ivan Davis is a registered financial advisor currently at TRANSCEND CAPITAL ADVISORS, LLC 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 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Ivan Davis'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

February 4, 2022 - Present

TRANSCEND CAPITAL ADVISORS, LLC

Office #1: 40705 Woodward Avenue Suite 100, Bloomfield Hills, MI 48304

RIA

CRD#: 299723

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.

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.

CRD#: 37404

TROY, MI

Past

June 16, 2003 - June 26, 2003

CAMBRIDGE GROUP INVESTMENTS, LTD.

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".

TRANSCEND CAPITAL ADVISORS, LLC

TRANSCEND CAPITAL ADVISORS, LLC | TRANSCEND WEALTH COLLECTIVE, LLC

CRD#: 299723 / SEC#: 801-114435

RIA

Registered Investment Advisory firm - (12/12/2018 Approved)

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)

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 66

Date: 5/28/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/18/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/21/2005

General Securities Representative Examination

Current Firm

TRANSCEND CAPITAL ADVISORS, LLC

TRANSCEND CAPITAL ADVISORS, LLC | TRANSCEND WEALTH COLLECTIVE, LLC

CRD#: 299723 / SEC#: 801-114435

RIA

Registered Investment Advisory firm - (12/12/2018 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

7 Giralda Farms Suite 300, Madison, NJ 07940

Mailing Address

Phone number

(973) 370-3203

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TRANSCEND CAPITAL ADVISORS, LLC - PART 2A BROCHURE (10/16/2025)

TRANSCEND CAPITAL ADVISORS, LLC - WRAP FEE PROGRAM (3/28/2025)

Regulatory assets under management

Total Number of Accounts	5,003
AUM (Assets Under Management)	$ 3,099,629,575

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/17/2025	Cover Page	Report
01/26/2024	Cover Page	Report
11/28/2022	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.

Similar Advisors

Jack Jerzewski

LPL ENTERPRISE, LLC

IAR

TROY, MI

Lyndon Davis

LIGHTSQUARE WEALTH MANAGEMENT, LLC

IAR

Farmington Hills, MI

Michael Delap

OSAIC WEALTH, INC.

SCOTTSDALE, AZ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard I. Davis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Ivan Davis's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

GOLDMAN SACHS WEALTH SERVICES, L.P.

MERCER ALLIED COMPANY, L.P.

CAMBRIDGE GROUP INVESTMENTS, LTD.

Primary Firm SEC Registration

TRANSCEND CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/28/2010

Series 63

Date: 6/18/2003

SIE

Date: 10/1/2018

Series 7

Date: 11/21/2005

Current Firm

TRANSCEND CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TRANSCEND CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors