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David E. Kerwin, CFA

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Leveraging my experience, I manage client portfolios as I would for myself, given the same financial situation

Looking for a better work-life balance, I founded my practice in 2008--then with 22 years of professional institutional investment management experience at what is now known as Ameriprise Financial. I've translated the discipline of running institutional money (multi-billion dollar mutual funds and corporate accounts) to individuals and trusts, and as a truly independent advisor, I am beholden to no one except my clients. 

  • I am a State of Minnesota-registered investment advisor (RIA),

  • I have my FINRA (formerly NASD) Series 66 license,

  • I am a Chartered Financial Analyst ®[CFA®], and

  • I have a Bachelor of Science in Economics from the University of Minnesota, Twin Cities.

CFA Charterholder certificate

My Background

   

A native Minnesotan and Gopher alumnus, I spent my entire corporate career at what used to be IDS Financial Services, then became American Express Financial Advisors, and is now known as Ameriprise Financial.
    
There I worked in operations, as a trader, research analyst, portfolio manager and leader of the municipal bond department managing muncipal bond portfolios--mutual funds and corporate accounts totaling over $12 billion.

What is an Independent Registered Investment Advisor (RIA)?
      
RIAs are professional independent advisory firms that provide personalized financial advice to their clients. Registration does not imply a certain level of skill or training. RIAs are also fiduciaries--meaning they are required to act in the best interests of their clients at all times. RIAs can be registered either with the Securities and Exchange Commission (SEC) or state securities regulators. 
 

What is a Chartered Financial Analyst (CFA)?
      
A CFA charterholder is someone who's completed the CFA® Program and completed acceptable work experience requirements. The CFA Program is a series of 3 successive exams that cover the fundamentals of investment tools, valuing assets, portfolio management, and wealth planning.
    
In addition, CFA charterholders are bound by the highest ethical standards (the CFA Institute's Code of Ethics and Standards of Professional Conduct. 

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