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Daniel Hocking

Newedge Advisors
32 Years of Experience
Jamestown, NY
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Daniel Hocking is a registered investment advisor at Newedge Advisors, based in Jamestown, NY, with 32 years of industry experience. Daniel is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Business Owners, Charitable Giving, Corporate Executives, and 9 more. Their firm serves 49,898 clients with $43B in assets under management.

Newedge Advisors
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
605 advisors
Number of Clients
49,898 clients
Average Client Portfolio
$866K average
Assets Under Management
$43.2B

Fee Structure

Minimum Investment:$10K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M2.25%
$1.0M - $2.0M2.00%
$2M+1.75%

Schedule reflects the primary Equity and Balanced Advisors Choice program. The firm imposes a maximum annual fee of 1.75% for new accounts opened after December 31, 2025, though older accounts may have rates up to 2.50%. Additional program schedules exist for fixed income, mutual fund strategies, and third-party manager programs. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

25 East 4th Street, Suite 15, Jamestown, NY, 14701

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History

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.
Customer Dispute
March 2004
Settled
Customer Dispute
July 2002
Pending
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Daniel is a co-owner of First Affiliated of the Chautauqua Region, LLC, a wealth management firm, dedicating full-time hours to this endeavor. He also engages in fixed insurance sales, spending minimal time on this activity, and serves on the Board of Directors for Westfield Hospital Foundation.

Employment History
Current Registrations
Newedge Advisors
November 2021 - Present · 4 yrs 11 mos
Newedge Securities, LLCBroker
November 2018 - Present · 7 yrs 11 mos
Previous Registrations
Mid Atlantic Financial Management, INC.
June 2021 - November 2021 · 5 mos
Bodell Overcash Anderson & CO., INC.Broker
October 2004 - November 2018 · 14 yrs 1 mo
Merrill Lynch Pierce Fenner & Smith INC.
April 1999 - March 2004 · 4 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 1994 - March 2004 · 9 yrs 10 mos
Bodell Overcash Anderson & CO., INC.Broker
March 1994 - April 1994 · 1 mo
Bradstreet Capital, INC.Broker
June 1987 - July 1987 · 1 mo
Rothschild Equity Management Group, INC.Broker
November 1985 - January 1986 · 2 mos
State Registrations13 states
AZCACOFLILMINMNYOHPASCVAWI
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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