DW
Firm Information
Compensation
Fee-Only (AUM)
Number of Advisors
58 advisors
Number of Clients
2,261 clients
Average Client Portfolio
$112.3M average
Assets Under Management
$253.8B
Fee Structure
Financial Planning:Investment management only
The brochure discusses fees and compensation but does not provide specific fee schedules or amounts.
Areas of Practice
Investment Management
Loading...
Advisor Information
Office location
200 Park Avenue, New York, NY, 10166
Get directionsRegulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
David owns a rental property since April 2021, spending a few hours per week on this activity. This activity is not investment-related.
Employment History
Current Registrations
Voya Investment Management CO. LLC
March 2020 - Present · 5 yrs 10 mos
Voya Investments Distributor, LLCBroker
March 2020 - Present · 5 yrs 10 mos
Voya Investments Distributor, LLC
March 2020 - Present · 5 yrs 10 mos
Previous Registrations
Wells Fargo Funds Management, LLC
December 2016 - January 2020 · 3 yrs 1 mo
Wells Fargo Funds Distributor, LLCBroker
July 2010 - January 2020 · 9 yrs 6 mos
Wells Fargo Funds Management, LLC
July 2010 - December 2014 · 4 yrs 5 mos
Harris Investor Services, INC.
October 2009 - July 2010 · 9 mos
Harris Investor Services, INC.Broker
October 2008 - July 2010 · 1 yr 9 mos
Morgan Stanley & CO. Incorporated
September 2007 - June 2008 · 9 mos
Morgan Stanley & CO. IncorporatedBroker
July 2007 - June 2008 · 11 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.