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DR

David J. Rath

CONTINUUM WEALTH ADVISORS
Saratoga Springs, NY 12866
Some features on this profile are disabled
CRD#: 5058213
DR

Professional summary

David Jonathan Rath, who also goes by David Rath, David J Rath, is a registered financial advisor currently at CONTINUUM WEALTH ADVISORS, LLC located in Saratoga Springs, New York.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. David has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

David Rath | David J Rath

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) - RIA

Click below to view David Jonathan Rath'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

July 27, 2021 - Present

CONTINUUM WEALTH ADVISORS, LLC

Office #1: 18 Division St. Suite 207b, Saratoga Springs, NY 12866
RIA
CRD#: 152895
Saratoga Springs, NY
Past

April 5, 2018 - January 24, 2019

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
LATHAM, NY
Past

February 13, 2018 - January 24, 2019

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
LATHAM, NY
Past

April 12, 2012 - September 12, 2017

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
LATHAM, NY
Past

September 29, 2010 - March 16, 2012

MERCER ALLIED COMPANY, L.P.

BD
CRD#: 37404
ALBANY, NY
Past

November 8, 2005 - January 11, 2006

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
SAN DIEGO, CA

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".
CW
CONTINUUM WEALTH ADVISORS, LLC
CONTINUUM WEALTH ADVISORS, LLC

CRD#: 152895 / SEC#: 801-71245

RIA
Registered Investment Advisory firm - (4/7/2010 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
New York
(7/27/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/30/2018
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/3/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/28/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/7/2005
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CW
CONTINUUM WEALTH ADVISORS, LLC
CONTINUUM WEALTH ADVISORS, LLC

CRD#: 152895 / SEC#: 801-71245

RIA
Registered Investment Advisory firm - (4/7/2010 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
18 Division St. Suite 207b, Saratoga Springs, NY 12866
Mailing Address
Phone number
(518) 583-4050
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CONTINUUM WEALTH ADVISORS FORM ADV PART 2A ("DISCLOSURE BROCHURE") AND PART 2B ("BROCHURE SUPPLEMENT") (3/11/2026)

Regulatory assets under management

Total Number of Accounts872
AUM (Assets Under Management)$ 345,582,814

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.

Company Information

CONTINUUM WEALTH ADVISORS, LLC

CRD#: 152895Saratoga Springs, NY 12866

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