Ulrich Emanuel Keller

Employer firm

Ducere Wealth Management CRD 337471

$504M regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Ducere Wealth Management

1401 Dove Street Suite 630, Newport Beach, CA 92660 • United States

Current Registrations

Authority	Category	Status	Date
NV	RA	APPROVED	2025-09-08
CA	RA	APPROVED	2025-07-22

NV RA
APPROVED

Since 2025-09-08
CA RA
APPROVED

Since 2025-07-22

Branch Locations

1401 Dove Street Suite 630, Newport Beach, CA 92660 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
First Foundation Advisors	Irvine	CA	01/1990	05/2025
Ducere Wealth Management, Llc	Newport Beach	CA	06/2025	Present

01/1990 → 05/2025

First Foundation Advisors

Irvine, CA
06/2025 → Present

Ducere Wealth Management, Llc

Newport Beach, CA

Previous Registrations

1991-01-11 → 2025-05-30

First Foundation Advisors

Irvine, CA

Irvine, CA
2006-04-28 → 2010-12-31

First Foundation Advisors, Llc

Irvine, CA

Other Businesses

Starting in 2023 as a Financial Consultant Providing Financial Advice to privately held Ostentus Therapeutics, located in Newport Beach, CA. The nature of the business is Healthcare. Approximately 1-2 hours a week after trading hours. Previously disclosed activity under prior employer.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-01-29

S65 Uniform Investment Adviser Law Examination

1996-01-29

Designations

Certified Financial Planner

Other Names

Rick Keller
Ulrich Emanuel Keller

View on SEC IAPD