DW
ChFC

David Lee West

20 Years of Experience

Firm Information

Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
61 advisors
Number of Clients
3,191 clients
Average Client Portfolio
$201K average
Assets Under Management
$640.8M

Fee Structure

Minimum Investment:None
Financial Planning:Included in AUM fee
Financial Plan Fee:$2,000 - $10,000

Investment management fees are based on a percentage of assets under management, not to exceed 2.00% annually, and are billed monthly in arrears. There's also an administrative and technology fee of up to $100 per account annually for accounts over $10,000. Financial planning is included with investment management services. Stand-alone financial planning fees range from $2,000 to $10,000, fixed and agreed upon in advance.

Areas of Practice
Investment ManagementFinancial Planning & CoachingRetirement PlanningEstate PlanningTax PlanningHigh Net Worth
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Advisor Information

Office location

1520 West Canal Court, Suite 100, Littleton, CO, 80120

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Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
February 2010
Regulatory
January 2006
Final
Other Business ActivitiesSells Insurance

David is the Founder and President of West Capital Advisors, Inc., an insurance agency, since 1996. He dedicates nearly full-time hours to providing financial consulting services and selling non-investment products, including annuities, life insurance, and long-term care insurance.

Employment History
Current Registrations
Tucker Asset Management LLC
December 2020 - Present · 5 yrs 1 mo
Previous Registrations
Alpine Capital Management, LLC
October 2013 - December 2020 · 7 yrs 2 mos
Oneamerica Securities, INC. Broker
April 2012 - July 2012 · 3 mos
Oneamerica Securities, INC.
February 2012 - July 2012 · 5 mos
Securian Financial Services, INC.
October 2007 - February 2010 · 2 yrs 4 mos
Securian Financial Services, INC.Broker
October 2007 - February 2010 · 2 yrs 4 mos
First Allied Securities, INC.Broker
November 2006 - October 2007 · 11 mos
Greenbook Securities, INC.Broker
August 2006 - January 2007 · 5 mos
Lincoln Financial Advisors Corporation
May 2006 - June 2006 · 1 mo
Greenbook Investment Management, INC.
January 2005 - October 2007 · 2 yrs 9 mos
Xelan Financial Planning, INC.
January 2003 - December 2004 · 1 yr 11 mos
Xelan Investment Services, INC.
January 2002 - January 2003 · 1 yr
State Registrations1 state
UT
Advisor
Exams
No exam information available for this advisor.