David S. Bradley

Some features on this profile are disabled

CRD#: 4711042

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.

David Smith Bradley, CFA, who also goes by Dave Bradley, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2003. David had worked at 4 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dave Bradley

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.

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®

CFA

Chartered Financial Analyst

Experience

Past

February 13, 2014 - April 26, 2014

HAWK RIDGE CAPITAL MANAGEMENT LP

RIA

CRD#: 163818

LOS ANGELES, CA

Past

July 2, 2013 - December 4, 2013

AVALAN, LLC

RIA

CRD#: 156109

SANTA BARBARA, CA

Past

May 29, 2008 - December 31, 2013

SIRIUS ADVISORS LLC

RIA

CRD#: 136968

SANTA BARBARA, CA

Past

October 1, 2003 - May 20, 2005

WILLIAM O'NEIL SECURITIES

CRD#: 894

BOSTON, MA

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".

HAWK RIDGE CAPITAL MANAGEMENT LP

HAWK RIDGE CAPITAL MANAGEMENT LP | HAWK RIDGE MANAGEMENT LLC

CRD#: 163818 / SEC#: 801-100425

RIA

Registered Investment Advisory firm - (7/1/2015 Approved)

California

Registered Investment Advisory firm - (4/26/2014 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.

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 66

Date: 10/17/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 9/30/2003

General Securities Representative Examination

Current Firm

HAWK RIDGE CAPITAL MANAGEMENT LP

HAWK RIDGE CAPITAL MANAGEMENT LP | HAWK RIDGE MANAGEMENT LLC

CRD#: 163818 / SEC#: 801-100425

RIA

Registered Investment Advisory firm - (7/1/2015 Approved)

California

Registered Investment Advisory firm - (4/26/2014 Terminated)

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

12121 Wilshire Blvd Suite 900, Los Angeles, CA 90025

Mailing Address

Phone number

(310) 594-7350

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

HAWK RIDGE ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	4
AUM (Assets Under Management)	$ 5,089,942,449

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
SEC	ERA - Withdrawn	6/19/2015

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David S. Bradley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HAWK RIDGE CAPITAL MANAGEMENT LP

AVALAN, LLC

SIRIUS ADVISORS LLC

WILLIAM O'NEIL SECURITIES

Primary Firm SEC Registration

HAWK RIDGE CAPITAL MANAGEMENT LP

State Registrations and Notice Filings

Exams

Series 66

Date: 10/17/2003

Series 7

Date: 9/30/2003

Current Firm

HAWK RIDGE CAPITAL MANAGEMENT LP

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

HAWK RIDGE CAPITAL MANAGEMENT LP

TRUST BUT VERIFY

Similar Advisors