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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

David Stephen Ulm

Advisor at DAI WEALTH, LLC

ATLANTA, GA | MANKATO, MN | WAYZATA, MN

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Search this name across graphsid dfx:ria:43b6cb93-3759-512b-56d8-7787db70dc34

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Feb 20, 2013 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: DAI WEALTH, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 19, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Feb 19, 2013
First registration: Feb 20, 2013
Dual registered: yes, broker-dealer
IAPD individual key: 5875346

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
DAI WEALTH, LLC	Independent wealth	Jan 27, 2025	n/a	yes	WAYZATA, MN\|ATLANTA, GA\|MANKATO, MN	Current employment
FRONTIER ASSET MANAGEMENT, LLC	Mixed wealth	Mar 1, 2018	Mar 4, 2025	no	SHERIDAN, WY	Previous registration
CEDAR CAPITAL, LLC	Former SEC adviser	Feb 10, 2015	Jul 26, 2016	no	GLEN ELLYN, IL	Previous registration
GOOD HARBOR FINANCIAL	Former SEC adviser	Mar 17, 2014	Jan 2, 2015	no	BARRINGTON, IL	Previous registration
INVESCO ADVISERS, INC.	Asset manager	Feb 20, 2013	Jan 3, 2014	no	ATLANTA, GA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FRONTIER ASSET MANAGEMENT, LLC	DAI WEALTH, LLC	Mar 4, 2025	Jan 27, 2025	-36	Firm change after gap	RIA to RIA
CEDAR CAPITAL, LLC	FRONTIER ASSET MANAGEMENT, LLC	Jul 26, 2016	Mar 1, 2018	583	Firm change after gap	Other
GOOD HARBOR FINANCIAL	CEDAR CAPITAL, LLC	Jan 2, 2015	Feb 10, 2015	39	Firm change	Other
INVESCO ADVISERS, INC.	GOOD HARBOR FINANCIAL	Jan 3, 2014	Mar 17, 2014	73	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
127351:174020:IL:2015-01-02	Jan 2, 2015	Feb 10, 2015	BARRINGTON, IL	Firm change

Relationships

Registered with (5)

→ DAI WEALTH, LLCRegistered adviserregistration: current employment
Jan 27, 2025 to presentfactForm ADV
→ FRONTIER ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Mar 1, 2018 to Mar 4, 2025factForm ADV
→ CEDAR CAPITAL, LLCRegistered adviserregistration: previous registration
Feb 10, 2015 to Jul 26, 2016factForm ADV
→ GOOD HARBOR FINANCIALRegistered adviserregistration: previous registration
Mar 17, 2014 to Jan 2, 2015factForm ADV
→ INVESCO ADVISERS, INC.Registered adviserregistration: previous registration
Feb 20, 2013 to Jan 3, 2014factForm ADV

Dated events

Occurred
Mar 4, 2025
Advisor changed firm
David Stephen Ulm left Frontier Asset Management, Llc for Dai Wealth, Llc (registered 2025-01-27)
Form ADVobserved 6 days ago