Unclaimed Profile

Todd Robert Dathe

ASPEN PRIVATE ADVISORS, LLC·SIOUX FALLS, South Dakota

SIE, Series 7, Series 9, Series 10, Series 31, Series 63, Series 65, Series 6623 years registeredASPEN PRIVATE ADVISORS, LLC

5201 SOUTH WESTERN AVENUE, SIOUX FALLS, SD 57108CRD# 4200005Firm CRD# 297639

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Todd Robert Dathe · SIOUX FALLS, SD

Registration

CRD #4200005 · ASPEN PRIVATE ADVISORS, LLC · 23 years registered

Brand Profile

Not yet started

Career History

ASPEN PRIVATE ADVISORS, LLC

Aug 2018 – present

LEVEL FOUR ADVISORY SERVICES

May 2015 – Oct 2018

SIOUX FALLS, SD

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

May 2010 – May 2015

SIOUX FALLS, SD

WELLS FARGO ADVISORS, LLC

Jan 2008 – May 2010

SIOUX FALLS, SD

A. G. EDWARDS & SONS, INC.

Feb 2007 – Jan 2008

SIOUX FALLS, SD

DICE FINANCIAL INVESTMENT ADVISORY

Dec 2002 – Jul 2003

MITCHELL, SD

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 9

Series 10

Series 31

Series 63

Series 65

Series 66

Registration record

First registered · December 10, 2002

Years registered · 23

Disclosure History

2009Customer Dispute·Denied

2009Customer Dispute·Settled

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

ASPEN PRIVATE ADVISORS, LLC

CRD 297639 · SEC 801-113814

AUM

$152M

Regulatory assets under management

Employees

439 client accounts

Services offered by ASPEN PRIVATE ADVISORS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at ASPEN PRIVATE ADVISORS, LLC →

Introduction

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Frequently Asked Questions

What services does Todd Robert Dathe offer?

Todd Robert Dathe specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in SIOUX FALLS, South Dakota for a consultation.

What are Todd Robert Dathe's credentials?

Todd Robert Dathe is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Todd Robert Dathe located?

Todd Robert Dathe is based in SIOUX FALLS, South Dakota, working with ASPEN PRIVATE ADVISORS, LLC. Their office serves clients in the SIOUX FALLS metropolitan area and surrounding communities.

How does Todd Robert Dathe charge for services?

Todd Robert Dathe's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is ASPEN PRIVATE ADVISORS, LLC?

ASPEN PRIVATE ADVISORS, LLC has approximately 4 employees and manages $152M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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