Daniel Platt has been Partner of Neumann Capital Management since January 2021, is a control person of the firm and directly owns between 25% and 50% of it.
Neumann Capital Management, LLC is a Foster City, CA firm with $630M under management, 191 clients and 4 advisers across 5 offices, as of its August 2026 filing.
Daniel Platt’s longest registration was 8 years at Ameriprise Financial Services, Inc. (2009–2017). Before joining Neumann Capital Management in 2022, Daniel Platt was registered through Brio Financial Group and Ameriprise Financial Services, Inc.
- Neumann Capital ManagementCurrent– present · 4 yearsFoster City, CA · Adviser representative · Firm CRD 112182
- Brio Financial Group– · 1 yearSan Francisco, CA · Adviser representative · Firm CRD 289889
- Ameriprise Financial Services, Inc.– · 8 yearsSan Francisco, CA · Adviser representative · Firm CRD 6363
Investment adviser representative registrations
Daniel Platt is registered as an investment adviser representative in 3 states. Each was approved in September 2022.
- CaliforniaSince 1 September 2022
- IllinoisSince 1 September 2022
- TexasSince 1 September 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 13 March 2008 |
| Series 55 | Limited Representative-Equity Trader Exam | 6 December 2004 |
| Series 63 | Uniform Securities Agent State Law Examination | 30 March 2004 |
| Series 7 | General Securities Representative Examination | 11 March 2004 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Limited Representative-Equity Trader Exam
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Daniel Gerald Platt
- CRD
- 4772200
- Firm
- Neumann Capital Management · CRD 112182
- Role
- Partner
- Office
- 303 VINTAGE PARK DRIVE, SUITE 100, Foster City, CA 94404-1167
- Registration
- Investment adviser registration
- In the industry since
- November 2008
- Disciplinary history
- Not yet shown here · SEC record
Where does Daniel Platt work?
Daniel Platt has been Partner of Neumann Capital Management, LLC since January 2021, and is a control person of the firm.
Is Daniel Platt a financial advisor?
Yes. Daniel Platt has a current investment-adviser registration in California, Illinois and Texas, through Neumann Capital Management since September 2022.
How many years of experience does Daniel Platt have?
Daniel Platt has 17 years in the financial industry, since November 2008, across 3 adviser firms.
What exams has Daniel Platt passed?
Daniel Platt has passed 4 licensing exams: the Series 7, Series 63, Series 55 and Series 65. The earliest, the Series 7, was passed in March 2004. FINRA credited Daniel Platt with the SIE, which began in October 2018.
Where did Daniel Platt work before Neumann Capital Management?
Before Neumann Capital Management, Daniel Platt was registered through Brio Financial Group, October 2017 to August 2019; Ameriprise Financial Services, Inc., April 2009 to October 2017.
Where is Daniel Platt based?
Daniel Platt’s registered office is in Foster City, CA.
Is Daniel Platt registered with FINRA?
No. Daniel Platt has no current broker registration.
How can I verify Daniel Platt’s record?
Search CRD 4772200 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Daniel Platt’s full registration record.