David Holmes is a registered investment advisor at Oppenheimer & CO. INC., based in San Francisco, CA, with 38 years of industry experience. Their practice areas include Financial Planning & Coaching, High Net Worth, Retirement Planning. Their firm serves 37,605 clients with $32B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Oppenheimer offers several investment management programs with different fee structures:
- Fahnestock Asset Management (FAM): Fees up to 2.5% of your portfolio. Commissions are also charged on certain FAM accounts.
- Alpha: Clients pay brokerage commissions and ticket/handling charges on securities transactions.
- Preference: Fees up to 2.25% of your portfolio. Additional charges may apply based on trading activity.
Minimum account sizes vary depending on the program and the types of investments included in the account. The minimum annual fee for FAM and Preference accounts is $250, but this is waived if the account is at least $50,000 or household advisory accounts are at least $250,000.
Location
580 California Street, Suite 2300, San Francisco, CA, 94104
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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 Activities
David is a partner in Rental Property III Summit since 2017 and a sole owner of rental property since 2010. He also passively owns property on Summit St. These activities require minimal time and about 10% of his time, respectively.
Employment History
Current Registrations
Oppenheimer & CO. INC.Broker
Oppenheimer & CO. INC.
Previous Registrations
Raymond James & Associates, INC.Broker
Raymond James & Associates, INC.
Deutsche Bank Securities INC.
Deutsche Bank Securities INC.Broker
UBS Financial Services INC.
UBS Financial Services INC.Broker
Garban LLCBroker
Garban Securities LLCBroker
Garvin Guybutler LLCBroker
State Registrations7 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.