Federal Data Hub › SEC Form ADV · JSON · SEC IAPD ↗

D.A. DAVIDSON & CO.

dba D.A. DAVIDSON & CO. · CRD 199 · Registered Investment Adviser

Regulatory disclosureCustody via related person

D.A. DAVIDSON & CO. is a Registered Investment Adviser headquartered in GREAT FALLS, MT. The firm reports $41,839,245,699 in regulatory assets under management across 92,146 accounts. It reports 8 Form ADV Item 11 disciplinary disclosure(s) (Regulatory).

Regulatory assets under management

Discretionary$38,297,454,732
Non-discretionary$3,541,790,967
Total RAUM$41,839,245,699
Accounts92,146

Disciplinary history (Form ADV Item 11)

This adviser answered "yes" to 8 Item 11 disclosure question(s):

CategoryReported
Criminal (11A / 11B)—
Regulatory (11C–11F)Yes
Civil / Other (11G / 11H)—

Item 11 captures firm-level Y/N disclosures only. For the narrative Disciplinary Reporting Pages, see the full Form ADV PDF on SEC IAPD.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 199. adviserinfo.sec.gov/firm/summary/199.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

License: CC0 1.0 Universal. Corrections: corrections @ ai-analytics.org.