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DR

David B. Raphael

KLINGENSTEIN FIELDS ADVISORS
San Mateo, CA
Some features on this profile are disabled
CRD#: 7754422
DR

Professional summary

David Beck Raphael is a registered financial advisor currently at KLINGENSTEIN FIELDS ADVISORS located in San Mateo, California.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. David has worked at 3 firms and has passed the Series 63, Series 65, Series 7TO and SIE 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 Beck Raphael'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

March 30, 2026 - Present

KLINGENSTEIN FIELDS ADVISORS

RIA
CRD#: 105907
San Mateo, CA
Past

March 17, 2025 - September 19, 2025

WILLOW WEALTH MARKETS LLC

BD
CRD#: 172295
NEW YORK, NY
Past

June 1, 2023 - October 16, 2025

WILLOW WEALTH

RIA
CRD#: 282487
NEW YORK, NY

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".
KF
KLINGENSTEIN FIELDS ADVISORS
ASSET MANAGEMENT PARTNERS SE, LLC | KLINGENSTEIN, FIELDS & CO., LLC | KLINGENSTEIN, FIELDS & CO., L.P. | KLINGENSTEIN FIELDS WEALTH ADVISORS | KLINGENSTEIN FIELDS ADVISORS

CRD#: 105907 / SEC#: 801-33347

RIA
Registered Investment Advisory firm - (12/16/1988 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
California
(3/30/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 4/7/2025
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/22/2023
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/17/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/4/2025
Securities Industry Essentials Examination

Current Firm

KF
KLINGENSTEIN FIELDS ADVISORS
ASSET MANAGEMENT PARTNERS SE, LLC | KLINGENSTEIN, FIELDS & CO., LLC | KLINGENSTEIN, FIELDS & CO., L.P. | KLINGENSTEIN FIELDS WEALTH ADVISORS | KLINGENSTEIN FIELDS ADVISORS

CRD#: 105907 / SEC#: 801-33347

RIA
Registered Investment Advisory firm - (12/16/1988 Approved)
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Contact information

Main Address
125 Park Avenue Suite 1700, New York, NY 10017-5529
Mailing Address
Phone number
(212) 492-7000
Established
Firm type
Fiscal year end
# of Employees
40

SEC notice filing (20 States and Territories)

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Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

KLINGENSTEIN, FIELDS & CO., LLC FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts1,267
AUM (Assets Under Management)$ 4,737,298,353

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
11/25/2025
Cover Page
Report
10/28/2024
Cover Page
Report
11/27/2023
Cover Page
Report

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

KLINGENSTEIN FIELDS ADVISORS

CRD#: 105907San Mateo, CA

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