Dave Lalla is a registered investment advisor at LPL Financial LLC, based in Edison, NJ, with 41 years of industry experience. Dave is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B
Fee Structure
Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
Edison, NJ
Get directionsHistory
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
January 2001Denied
Employment History
Current Registrations
LPL Financial LLCBroker
December 2009 - Present · 16 yrs 10 mos
LPL Financial LLC
December 2009 - Present · 16 yrs 10 mos
Previous Registrations
Chase Investment Services CORP.
June 2003 - December 2009 · 6 yrs 6 mos
Chase Investment Services CORP.Broker
May 2003 - December 2009 · 6 yrs 7 mos
Quick & Reilly, INC.
November 2002 - April 2003 · 5 mos
Quick & Reilly, INC.Broker
September 2002 - April 2003 · 7 mos
Chase Investment Services CORP.
September 1998 - September 2002 · 4 yrs
Chase Investment Services CORP.Broker
September 1996 - September 2002 · 6 yrs
Chemical Investment Services CORP.Broker
August 1994 - September 1996 · 2 yrs 1 mo
Liberty Securities CorporationBroker
June 1993 - August 1994 · 1 yr 2 mos
Citicorp Investment ServicesBroker
June 1992 - June 1993 · 1 yr
Citicorp Financial Services,inc.Broker
November 1990 - June 1992 · 1 yr 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
December 1986 - November 1990 · 3 yrs 11 mos
Aplan Securities, INC.Broker
February 1985 - December 1986 · 1 yr 10 mos
Mutual Funds Associates INC.Broker
November 1984 - March 1985 · 4 mos
State Registrations8 states
AZFLMDNCNJNVNYPA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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