AdFi
DG

David Gordon Rauch

Investment Adviser Representative at KELLEHER FINANCIAL ADVISORS, LLC

New York, NYCRD #2208226Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
20 yrs
States Registered
2 states
Exams Passed
4

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

David Gordon Rauch has worked in the securities industry since 2006. They are registered to provide investment advisory services in New York and Pennsylvania.

Registrations & licenses

Registration type
Dual-registered
Registered in 2 states
New YorkPennsylvania
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 3/8/2023
Series 63
Uniform Securities Agent State Law Examination
Passed 1/15/1992
Series 7
General Securities Representative Examination
Passed 3/16/1992
Series 24
General Securities Principal Examination
Passed 8/6/2003

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Account minimum: $500,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Kelleher Financial Advisors, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

KELLEHER FINANCIAL ADVISORS, LLCCurrent
12/17/2015New York, NY
SAM ADVISORS, LLC
1/10/201512/31/2015New York, NY
SAM ADVISORS, LLC
10/16/200712/31/2014New York, NY
SAM ADVISORS, LLC
1/28/20056/22/2005New York, NY
SMITH ASSET MANAGEMENT, INC.
6/14/20046/22/2005New York, NY

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at KELLEHER FINANCIAL ADVISORS, LLC

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View KELLEHER FINANCIAL ADVISORS, LLC firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. David Gordon Rauch has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

David Gordon Rauch - Financial Advisor in New York, NY | AdvisorFinder