D.A. DAVIDSON & CO.
Adviser information for D.A. DAVIDSON & CO. last updated from Form ADV on March 20th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | SEPTEMBER |
| Legal Location | Montana, United States |
Employees
| Total Number of Employees | 640 |
|---|---|
| Investment Advisory/Research | 410 |
| Registered Broker-Dealer Representatives | 630 |
| Registered State Investment Advisers | 625 |
| Licensed Agents of an Insurance Company | 350 |
| No. of Firms/People that Solicit Clients | 4 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 77,125 | $25.3B |
| Non-Discretionary | 4,139 | $2.7B |
| Total | 81,264 | $27.9B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 46,981 | $10.9B |
| HNW Individuals | 13,968 | $14.0B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $58.0M |
| Pension and profit sharing plans | 262 | $447.3M |
| Charitable organizations | 988 | $1.3B |
| State or municipal gov entities | 28 | $131.7M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 593 | $1.0B |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 330 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 8500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesPerformance-based fees |
| Other Business Activities | Broker-dealerInsurance broker or agentRegistered municipal advisor |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 4.1B |
| Portfolio Manager | 0 |
| Both for Same | 23.8B |
| Portfolio Manager to Program | Sponsor |
|---|---|
| CHOICE | D.A. DAVIDSON & CO. |
| MANAGED FUNDS PORTFOLIO | D.A. DAVIDSON & CO. |
| PARAGON | D.A. DAVIDSON & CO. |
| SEPARATE ACCOUNT MANAGEMENT | D.A. DAVIDSON & CO. |
| UNIFIED MANAGED ACCOUNT | D.A. DAVIDSON & CO. |
Principal Office
8 THIRD STREET NORTHGREAT FALLS
MT
United States
Monday - Friday, 8:00 A.M.-5:00 P.M.
Tel: 406-727-4200, Fax: 406-791-7380
Chief Compliance Officer
CURTIS MCCUBBIN
SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER
1550 MARKET STREET
SUITE 300
DENVER
CO
United States
Tel:
303-764-6020
Fax:
303-764-5770
C********@********M
(Full email address available in API data)
Regulatory Contact
SCOTT HULTSMAN
SENIOR COMPLIANCE OFFICER, ADVISORY
703 BROADWAY STREET
SUITE 103
VANCOUVER
WA
United States
Tel:
503-863-5093
Fax:
(503) 525-3595
S********@********M
(Full email address available in API data)
Industry Affiliates
| DAVIDSON INVESTMENT ADVISORS, INC. | Other investment adviser, including financial planners |
| TRUST BUSINESS UNDER FEDERAL SAVINGS BANK REGISTRATION | Trust company |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CONCORDANT PARTNERS, LLC D/B/A THE CONCORDANT FUND | Hedge Fund | $58.0M | $0.3M | 13 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| D.A. DAVIDSON COMPANIES | Domestic Entity | – | HOLDING COMPANY | 05/1986 | > 75% |
| EMPLOYEE STOCK OWNERSHIP PLAN AND TRUST | Domestic Entity | D.A. DAVIDSON COMPANIES | SHAREHOLDER | 09/2001 | 25-50% |
| DISPENSE, MARC RUSSELL | Individual | – | PRESIDENT, FIXED INCOME CAPITAL MARKETS | 03/2019 | < 5% |
| D.A. DAVIDSON TRUST COMPANY | Domestic Entity | EMPLOYEE STOCK OWNERSHIP PLAN AND TRUST | TRUSTEE | 09/2001 | 25-50% |
| PURPURA, MICHAEL JOSEPH | Individual | – | PRESIDENT, WEALTH MANAGEMENT, DIRECTOR | 10/2014 | < 5% |
| BEAUPREZ, JACQUELINE ANN | Individual | – | SVP, GENERAL COUNSEL | 04/2018 | < 5% |
| WITEBY, SCOTT MICHAEL | Individual | – | SVP, CHIEF FINANCIAL OFFICER, DIRECTOR | 11/2019 | < 5% |
| MARTINEZ, LAWRENCE TODD | Individual | – | CHARIMAN AND CEO, D.A. DAVIDSON COMPANIES, DIRECTOR | 02/2022 | < 5% |
| MCKINNEY, RORY ADAM | Individual | – | PRESIDENT, EQUITY CAPITAL MARKETS | 10/2022 | < 5% |
| MCCUBBIN, JARED C | Individual | – | SVP, CHIEF COMPLIANCE OFFICER | 01/2023 | < 5% |
| CRONK, JAMES LEE | Individual | – | PRINCIPAL OPERATIONS OFFICER | 02/2024 | < 5% |