Daniel J. Rivet

THE FOUNDRY FINANCIAL GROUP

Laconia, NH 03246

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CRD#: 6817858

Professional summary

Daniel Joseph Rivet, CFP® is a registered financial advisor currently at THE FOUNDRY FINANCIAL GROUP, INC. located in Laconia, New Hampshire.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Daniel has worked at 3 firms and has passed the Series 66, SIE 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.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 32/WK - 24/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 2.THE FOUNDRY FINANCIAL GROUP INC, 67 WATER ST STE 101, LACONIA NH, 6/2018. ADVISORY REP OF A RIA. INV REL - 8/WK - 7/TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Joseph Rivet'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®

CFP^®

Certified Financial Planner

Start date: 2019

Experience

Current

June 19, 2018 - Present

THE FOUNDRY FINANCIAL GROUP, INC.

Office #1: 67 Water Street Suite 101a, Laconia, NH 03246

RIA

CRD#: 116823

Laconia, NH

Past

May 16, 2018 - October 9, 2023

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Laconia, NH

Past

March 17, 2018 - May 18, 2020

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

LACONIA, NH

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".

THE FOUNDRY FINANCIAL GROUP, INC.

CRD#: 116823 / SEC#: 801-129329

RIA

Registered Investment Advisory firm - (1/10/2024 Approved)

Massachusetts

Registered Investment Advisory firm - (1/12/2024 Terminated)

New Hampshire

Registered Investment Advisory firm - (1/10/2024 Terminated)

New Jersey

Registered Investment Advisory firm - (11/17/2021 Terminated)

Texas

Registered Investment Advisory firm - (1/12/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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 Hampshire
(6/19/2018)

IAR

Texas
(12/8/2021)

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: 5/12/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/17/2018

General Securities Representative Examination

Current Firm

THE FOUNDRY FINANCIAL GROUP, INC.

CRD#: 116823 / SEC#: 801-129329

RIA

Registered Investment Advisory firm - (1/10/2024 Approved)

Massachusetts

Registered Investment Advisory firm - (1/12/2024 Terminated)

New Hampshire

Registered Investment Advisory firm - (1/10/2024 Terminated)

New Jersey

Registered Investment Advisory firm - (11/17/2021 Terminated)

Texas

Registered Investment Advisory firm - (1/12/2024 Terminated)

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Contact information

Main Address

67 Water Street Suite 101, Laconia, NH 03246-3300

Mailing Address

Phone number

(603) 528-5171

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (1/27/2025)

Regulatory assets under management

Total Number of Accounts	1,009
AUM (Assets Under Management)	$ 207,895,358

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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Daniel J. Rivet

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Joseph Rivet's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE FOUNDRY FINANCIAL GROUP, INC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

Primary Firm SEC Registration

THE FOUNDRY FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/12/2018

SIE

Date: 10/1/2018

Series 7

Date: 3/17/2018

Current Firm

THE FOUNDRY FINANCIAL GROUP, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE FOUNDRY FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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