DK
David A. Kaiser
ROBOTTI & COMPANY ADVISORS
Enfield, CT
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CRD#: 4966564
DK
Professional summary
David Andrew Kaiser is a registered financial advisor currently at ROBOTTI & COMPANY ADVISORS, LLC located in Enfield, Connecticut and ROBOTTI SECURITIES, LLC located in New York, New York.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. David has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 86, Series 87 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). NAME: ROBOTTI & COMPANY ADVISORS, LLC; INVESTMENT RELATED: YES; ADDRESS: 125 PARK AVENUE, SUITE 1607, NEW YORK, NY 10017-8501; NATURE: REGISTERED INVESTMENT ADVISER THAT CONDUCTS ASSET MANAGEMENT ACTIVITIES FOR ALTERNATIVE INVESTMENT STRATEGIES, POOLED VEHICLES, AND SEPARATELY MANAGED ACCOUNTS; POSITION:SENIOR INVESTMENT ASSOCIATE; START DATE: 1/2014; APPROXIMATE NUMBER OF HOURS: 160; DURING TRADING HOURS: 150; DUTIES: PROVIDES RESEARCH ANALYSIS FOR ROBOTTI & COMPANY ADVISORS, LLC, INCLUDING ITS POOLED VEHICLES AND SEPARATELY MANAGED ACCOUNTS. 2). NAME: GP OF METHODICAL INVESTMENTS, LLC AND THE PORTFOLIO MANAGER OF METHOD INVESTMENTS LP, INVESTMENT RELATED: YES, ADDRESS: 42 RAFFIA RD, ENFIELD, CT 06082, NATURE OF THE BUSINESS: PRIVATE INVESTMENT FUND, POSITION: GENERAL PARTNER AND PORTFOLIO MANAGER, START DATE: MARCH 1, 2023, APPROXIMATE NUMBER OF HOURS: 10-15, DURING TRADING HOURS: 2, DUTIES: MANAGING THE INVESTMENT FUND.
CRS (Client Relationship Summary) - RIA
Click below to view David Andrew Kaiser'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
August 11, 2025 - Present
ROBOTTI & COMPANY ADVISORS, LLC
RIA
CRD#: 128093
Enfield, CT
Current
January 8, 2008 - Present
ROBOTTI SECURITIES, LLC
Office #1: 125 Park Avenue, Suite 1607, New York, NY 10017BD
CRD#: 13251
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".
R&
ROBOTTI & COMPANY ADVISORS, LLC
ROBOTTI & COMPANY ADVISORS, LLC | ROBOTTI & COMPANY, ADVISORS, LLC
CRD#: 128093 / SEC#: 801-60314
RIA
Registered Investment Advisory firm - (6/7/2001 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(5/8/2008)
IAR
Connecticut(8/11/2025)
RR
Florida(1/25/2008)
RR
New Jersey(5/20/2008)
RR
New York(5/8/2008)
RR
Texas(5/8/2008)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
R&
ROBOTTI & COMPANY ADVISORS, LLC
ROBOTTI & COMPANY ADVISORS, LLC | ROBOTTI & COMPANY, ADVISORS, LLC
CRD#: 128093 / SEC#: 801-60314
RIA
Registered Investment Advisory firm - (6/7/2001 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
125 Park Avenue Suite 1607, New York, NY 10017
Mailing Address
Phone number
(212) 986-4800
Established
Firm type
Fiscal year end
# of Employees
18
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 251 |
| AUM (Assets Under Management) | $ 881,805,476 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/28/2025 | ||
| 10/25/2024 | ||
| 10/26/2023 | ||
| 01/23/2023 |
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.
