David J. Rath

CONTINUUM WEALTH ADVISORS

Saratoga Springs, NY 12866

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CRD#: 5058213

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.

CONTINUUM TAX ADVISORS: NON-INVESTMENT RELATED; SAME ADDRESS AS ABOVE; OWNER; 2/2025; 4 HOURS PER MONTH

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

CRD#: 46173

LATHAM, NY

Past

April 12, 2012 - September 12, 2017

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

LATHAM, NY

Past

September 29, 2010 - March 16, 2012

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

ALBANY, NY

Past

November 8, 2005 - January 11, 2006

NATIONAL PLANNING CORPORATION

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".

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)

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: 4/30/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/3/2005

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: 9/28/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/7/2005

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CONTINUUM WEALTH ADVISORS, LLC

CRD#: 152895 / SEC#: 801-71245

RIA

Registered Investment Advisory firm - (4/7/2010 Approved)

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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

SEC notice filing (4 States and Territories)

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") (2/13/2025)

Regulatory assets under management

Total Number of Accounts	807
AUM (Assets Under Management)	$ 254,267,440

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.

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Advisor Monitoring

Firm Stability Insights

David J. Rath

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Jonathan Rath's CRS (Customer Relationship Summary).

Certified licenses

Experience

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

MERCER ALLIED COMPANY, L.P.

NATIONAL PLANNING CORPORATION

Primary Firm SEC Registration

CONTINUUM WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/30/2018

Series 63

Date: 12/3/2005

SIE

Date: 10/1/2018

Series 7

Date: 9/28/2010

Series 6

Date: 11/7/2005

Current Firm

CONTINUUM WEALTH ADVISORS, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONTINUUM WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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