David Moore
David Moore is a CFP-designated registered investment advisor at Independent Solutions Wealth Management, LLC, based in Willaimsville, NY, with 41 years of industry experience. David is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Estate Planning, Financial Planning & Coaching, High Net Worth, and 4 more. Their firm serves 4,285 clients with $1.5B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Independent Solutions Wealth Management offers several investment management options:
- Mutual Fund Portfolio Management: Fees range up to 2.50% of the portfolio's value.
- ETF Portfolio Management: Fees range up to 2.50% of the portfolio's value.
- Stock Portfolio Management: Fees range up to 2.75% of the portfolio's value. A minimum account balance of $100,000 is required, but may be waived.
- Third-Party Manager Selection: Fees range up to 2.50% of the portfolio's value, in addition to the third-party manager's fees.
Fees are billed quarterly in arrears based on the average daily balance of the previous quarter. Fees may be waived or negotiated.
Location
Willaimsville, NY
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Regulatory History
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 ActivitiesSells Insurance
David is an insurance agent selling life insurance, a registered representative with Peak Brokerage Services, an IAR with Independent Solutions Wealth Management, LLC, and a wealth manager for The Financial Guys. Each of these activities takes about 10-20% of his time.
Employment History
Current Registrations
Peak Brokerage Services, LLCBroker
Independent Solutions Wealth Management, LLC
Previous Registrations
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.Broker
MML Investors Services, LLCBroker
Change Path LLC
MML Investors Services, LLCBroker
American Portfolios Advisors, INC
American Portfolios Financial Services, INC.Broker
Client One Securities LLCBroker
Client One Securities LLCBroker
Northwestern Mutual Investment Services, LLCBroker
Robert W. Baird & CO. IncorporatedBroker
Main Street Management CompanyBroker
The Planner's Securities Group, INC.Broker
E. F. Hutton & Company INCBroker
State Registrations6 states
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.