DR
Dana G. Rausch
RIA ADVISORY GROUP
Sioux Falls, SD 57108
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CRD#: 5669987
DR
Professional summary
Dana Gene Rausch, AIF®, who also goes by Dana G Rausch, is a registered financial advisor currently at RIA ADVISORY GROUP, LLC located in Sioux Falls, South Dakota.
Dana is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Dana has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dana G Rausch
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. CDVP, LLC - Not Investment Related - 13644 Sunshine Valley Rd, Piedmont, SD 57769 - Business Entity For Tax/Investment Purposes Only - Started 04/26/2018 - 8 hrs/mo - 0 During Securities Trading
2. DGR Inc - Not investment related - At reported business location(s) - Business Entity For Tax/Investment Purposes Only - start date: 01/29/2019 - 8 hrs/mo - 0 hrs during trading.
3. V&J Rausch Family LLC - Not Investment Related - Hoven SD 57450 - Started 12/15/2005 - 16 Hour Per Month/0 Hours During Securities Trading - 1/10th shareholder in a family holding LLC for family farmland.
4. Resolve Physician Agency - Investment Related - At Reported Business Location(s) - Other-Benefit Education - Benefit Analyst - Started 11/11/2019 - 7 Hours Per Month During Securities Trading - Calls with doctors to help them understand the benefits that their new possible employer is offering.
5. No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 4/16/2018 60 Hours Per Month/3 Hours During Securities Trading - Time Spent 25% - Fixed Life, Fixed Annuity, Disability, LTC. BGA is Financial Markets
CRS (Client Relationship Summary) - RIA
Click below to view Dana Gene Rausch'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®
Experience
Current
August 3, 2020 - Present
RIA ADVISORY GROUP, LLC
Office #1: 6300 S. Old Village Pl, Suite 100, Sioux Falls, SD 57108RIA
CRD#: 152566
Sioux Falls, SD
Past
December 15, 2017 - August 11, 2020
BALEFIRE, LLC
RIA
CRD#: 168733
Sioux Falls, SD
Past
December 8, 2017 - August 10, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
SIOUX FALLS, SD
Past
January 2, 2013 - December 14, 2017
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
WATERTOWN, SD
Past
May 22, 2009 - December 14, 2017
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
WATERTOWN, SD
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".
RA
RIA ADVISORY GROUP, LLC
DAKOTA ADVISORY TEAM | TRIPOINT ADVISORY GROUP, LLC | RIEA | RIAG, LLC DBA RIA ADVISORS | RIA ADVISORY GROUP, LLC | PEDERSEN INSURANCE & FINANCIAL SERVICES | LIFESTYLES INVESTMENT STRATEGIES | IEA WEALTH MANAGEMENT, LLC | IEA WEALTH MANAGEMENT LLC | EA-ADVISORS, LLC | EA ADVISORS
CRD#: 152566 / SEC#: 801-117837
RIA
Registered Investment Advisory firm - (1/2/2020 Approved)Iowa
Registered Investment Advisory firm - (1/2/2020 Terminated)Minnesota
Registered Investment Advisory firm - (1/6/2020 Terminated)Missouri
Registered Investment Advisory firm - (1/2/2020 Terminated)Nevada
Registered Investment Advisory firm - (2/5/2020 Terminated)Texas
Registered Investment Advisory firm - (1/2/2020 Terminated)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
South Dakota(8/14/2020)
IAR
Texas(12/12/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
RA
RIA ADVISORY GROUP, LLC
DAKOTA ADVISORY TEAM | TRIPOINT ADVISORY GROUP, LLC | RIEA | RIAG, LLC DBA RIA ADVISORS | RIA ADVISORY GROUP, LLC | PEDERSEN INSURANCE & FINANCIAL SERVICES | LIFESTYLES INVESTMENT STRATEGIES | IEA WEALTH MANAGEMENT, LLC | IEA WEALTH MANAGEMENT LLC | EA-ADVISORS, LLC | EA ADVISORS
CRD#: 152566 / SEC#: 801-117837
RIA
Registered Investment Advisory firm - (1/2/2020 Approved)Iowa
Registered Investment Advisory firm - (1/2/2020 Terminated)Minnesota
Registered Investment Advisory firm - (1/6/2020 Terminated)Missouri
Registered Investment Advisory firm - (1/2/2020 Terminated)Nevada
Registered Investment Advisory firm - (2/5/2020 Terminated)Texas
Registered Investment Advisory firm - (1/2/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
500 Sw 7th Street Suite 204, Des Moines, IA 50309
Mailing Address
Phone number
(515) 965-8588
Established
Firm type
Fiscal year end
# of Employees
23
SEC notice filing (13 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,009 |
| AUM (Assets Under Management) | $ 456,517,836 |
Red Flags
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Company Information
RIA ADVISORY GROUP, LLC
CRD#: 152566Sioux Falls, SD 57108TRUST BUT VERIFY
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