David S. Ulm

DAI WEALTH

MANKATO, MN 56001

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CRD#: 5875346

Professional summary

David Stephen Ulm is a registered financial advisor currently at DAI WEALTH, LLC located in Mankato, Minnesota and DAI SECURITIES, LLC located in Mankato, Minnesota.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. David has worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 7TO, Series 7 and Series 6 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Stephen Ulm'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

January 27, 2025 - Present

DAI WEALTH, LLC

Office #1: 150 St Andrews Ct Suite 210, Mankato, MN 56001Office #2: 15600 Wayzata Blvd Suite 301, Wayzata, MN 55391

RIA

CRD#: 138938

MANKATO, MN

Current

March 14, 2025 - Present

DAI SECURITIES, LLC

Office #1: 150 St. Andrews Ct., Suite 210, Mankato, MN 56001Office #2: 15600 Wayzata Blvd Suite 301, Wayzata, MN 55391

CRD#: 36673

Mankato, MN

Past

March 1, 2018 - March 4, 2025

FRONTIER ASSET MANAGEMENT, LLC

RIA

CRD#: 109910

SHERIDAN, WY

Past

February 10, 2015 - July 26, 2016

CEDAR CAPITAL, LLC

RIA

CRD#: 174020

CHICAGO, IL

Past

October 27, 2014 - July 27, 2016

FORESIDE FUND SERVICES, LLC

CRD#: 46106

Chicago, IL

Past

March 17, 2014 - January 2, 2015

GOOD HARBOR FINANCIAL

RIA

CRD#: 127351

CHICAGO, IL

Past

January 27, 2014 - October 28, 2014

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

February 20, 2013 - January 3, 2014

INVESCO ADVISERS, INC.

RIA

CRD#: 105360

ATLANTA, GA

Past

November 1, 2012 - January 3, 2014

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

DOWNERS GROVE, IL

Past

January 17, 2011 - October 26, 2012

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

ST. PETERSBURG, FL

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".

DAI WEALTH, LLC

CRD#: 138938 / SEC#: 801-66260

RIA

Registered Investment Advisory firm - (2/24/2006 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.

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

IAR

Minnesota
(1/27/2025)

Minnesota
(5/30/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 5/30/2025

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/19/2013

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 3/14/2025

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7TO

Date: 3/7/2025

General Securities Representative Examination

General Industry/Product Exam

Series 7

Date: 11/12/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/14/2011

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

DAI WEALTH, LLC

CRD#: 138938 / SEC#: 801-66260

RIA

Registered Investment Advisory firm - (2/24/2006 Approved)

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Contact information

Main Address

2800 Century Parkway Ne Suite 650, Atlanta, GA 30345

Mailing Address

Phone number

(404) 531-7080

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DAI WEALTH ADV PART 2A (7/15/2025)

Regulatory assets under management

Total Number of Accounts	1,821
AUM (Assets Under Management)	$ 267,417,235

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 S. Ulm

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Stephen Ulm's CRS (Customer Relationship Summary).

Certified licenses

Experience

DAI SECURITIES, LLC

FRONTIER ASSET MANAGEMENT, LLC

CEDAR CAPITAL, LLC

FORESIDE FUND SERVICES, LLC

GOOD HARBOR FINANCIAL

NORTHERN LIGHTS DISTRIBUTORS, LLC

INVESCO ADVISERS, INC.

INVESCO DISTRIBUTORS, INC.

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

Primary Firm SEC Registration

DAI WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/30/2025

Series 65

Date: 2/19/2013

SIE

Date: 3/14/2025

Series 7TO

Date: 3/7/2025

Series 7

Date: 11/12/2012

Series 6

Date: 1/14/2011

FINRA

Current Firm

DAI WEALTH, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DAI WEALTH, LLC

TRUST BUT VERIFY

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