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DR
CFP
DR
CFP
David Bond Root
D.B. Root & Company, LLC
40 Years of Experience
1 Disclosure
May Earn Commission
View SEC Summary
View SEC Summary
Areas of Practice
Investment Management
Retirement Planning
Tax Planning
Estate Planning
Charitable Giving
Insurance Planning
Business Owners
High Net Worth
D.B. Root & Company, LLC
Compensation
Commission-Based
Fee-Only (AUM)
Fixed/Hourly
Firm Size
15 advisors
Number of Clients
768 clients
Average Client Portfolio
$1.1M average
Assets Under Management
$829.8M
Fee Structure
Investment Management
Planning
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Location
436 Seventh Avenue, Suite 2800, Pittsburgh, PA, 15219
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History
Regulatory History (1)
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
.
Customer Dispute
December 2010
Settled
View Full SEC Report
How to Read Disclosures
Employment History
Current Registrations
D.B. Root & Company, LLC
October 2015 - Present · 10 yrs 4 mos
Previous Registrations
Purshe Kaplan Sterling Investments
Broker
October 2015 - August 2016 · 10 mos
Commonwealth Financial Network
March 2005 - September 2015 · 10 yrs 6 mos
Commonwealth Financial Network
Broker
October 1997 - September 2015 · 17 yrs 11 mos
D.B. Root & Company, INC.
January 1995 - December 2010 · 15 yrs 11 mos
Walnut Street Securities, INC.
Broker
September 1989 - October 1997 · 8 yrs 1 mo
Integrated Resources Equity Corporation
Broker
February 1987 - September 1989 · 2 yrs 7 mos
Cardell & Associates, Incorporated
Broker
November 1984 - October 1986 · 1 yr 11 mos
State Registrations
2 states
PA
TX
Advisor
Exams
No exam information available for this advisor.