Todd Dathe has been Managing Member & Chief Compliance Officer of Aspen Private Advisors since July 2018, is a control person of the firm and directly owns under 5% of it. Todd Dathe holds a Bachelor of Arts in Economics from the University of South Dakota, a Master of Science from Western Illinois University and a Master of Business Administration from the University of South Dakota.
Aspen Private Advisors, LLC is a Sioux Falls, SD firm with $200M under management, 125 clients and 5 advisers in one office, as of its March 2026 filing.
Todd Dathe is part of the team at Aspen Private Advisors, based in Sioux Falls, SD. He has worked alongside clients for over 20 years.
Todd Dathe’s longest registration is the current one, 8 years at Aspen Private Advisors since 2018. Before joining Aspen Private Advisors in 2018, Todd Dathe was registered through Level Four Advisory Services and Raymond James Financial Services Advisors, Inc.
- Aspen Private Advisors, LLCCurrent– present · 8 yearsSioux Falls, SD · Adviser representative · Firm CRD 297639
- Level Four Advisory Services– · 3 yearsSioux Falls, SD · Adviser representative · Firm CRD 134086
- Raymond James Financial Services Advisors, Inc– · 4 yearsSioux Falls, SD · Adviser representative · Firm CRD 149018
- Wells Fargo Advisors, LLC– · 2 yearsSioux Falls, SD · Adviser representative · Firm CRD 19616
- A. G. Edwards & Sons, Inc.– · under a yearSioux Falls, SD · Adviser representative · Firm CRD 4
- Dice Financial Investment Advisory– · under a yearMitchell, SD · Adviser representative · Firm CRD 123922
Investment adviser representative registrations
Todd Dathe is registered as an investment adviser representative in South Dakota, since August 2018.
- South DakotaSince 20 August 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 1 September 2011 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 15 August 2011 |
| Series 31 | Futures Managed Funds Examination | 30 April 2009 |
| Series 66 | Uniform Combined State Law Examination | 16 February 2007 |
| Series 65 | Uniform Investment Adviser Law Examination | 25 March 2002 |
| Series 63 | Uniform Securities Agent State Law Examination | 19 June 2000 |
| Series 7 | General Securities Representative Examination | 12 June 2000 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Todd Robert Dathe
- CRD
- 4200005
- Firm
- Aspen Private Advisors · CRD 297639
- Role
- Managing Member & Chief Compliance Officer
- Office
- 5201 South Western Avenue, Suite 103, Sioux Falls, SD 57108
- Registration
- Investment adviser registration
- In the industry since
- June 2000
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- aspenpa.com
Where does Todd Dathe work?
Todd Dathe has been Managing Member & Chief Compliance Officer of Aspen Private Advisors, LLC since July 2018, and is a control person of the firm.
Is Todd Dathe a financial advisor?
Yes. Todd Dathe has a current investment-adviser registration in South Dakota, through Aspen Private Advisors since August 2018.
How many years of experience does Todd Dathe have?
Todd Dathe has 26 years in the financial industry, since June 2000, across 6 adviser firms.
What exams has Todd Dathe passed?
Todd Dathe has passed 7 licensing exams: the Series 7, Series 63, Series 65, Series 66, Series 31, Series 9 and Series 10. The earliest, the Series 7, was passed in June 2000. FINRA credited Todd Dathe with the SIE, which began in October 2018.
Where did Todd Dathe work before Aspen Private Advisors?
Before Aspen Private Advisors, Todd Dathe was registered through Raymond James Financial Services Advisors, Inc, May 2010 to May 2015; Wells Fargo Advisors, LLC, January 2008 to May 2010; A. G. Edwards & Sons, Inc., February 2007 to January 2008; Dice Financial Investment Advisory, December 2002 to July 2003.
Where is Todd Dathe based?
Todd Dathe’s registered office is in Sioux Falls, SD.
Is Todd Dathe registered with FINRA?
No. Todd Dathe has no current broker registration.
How can I verify Todd Dathe’s record?
Search CRD 4200005 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Todd Dathe’s full registration record.
