David Stevens is a CFP-designated registered investment advisor at Spc, based in Costa Mesa, CA, with 39 years of industry experience. David operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 30,881 clients with $5.7B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
SPC offers investment management through the SIGMA Managed Account program. Clients pay an annual account management fee based on a percentage of their account assets. The fee includes a program fee and the IAR's compensation. For example, if your account AUM is $1,500,000, the first $500,000 is billed at 2.50%, the next $250,000 at 1.75%, the next $250,000 at 1.50%, and the remaining $500,000 at 1.25%. The maximum annual advisory fee is 2.5%. The program fee is 0.15% on all assets. There is a $30 minimum annual program fee.
SPC also offers direct-at-fund programs where clients pay an annual asset-based investment management fee of 0.5%.
Location
940 South Coast Drive, Suite 255, Costa Mesa, CA, 92626
Get directionsHistory
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 a self-employed owner of a CPA firm, prepares tax returns, and does minor bookkeeping, dedicating minimal time. He also books travel as an independent contractor, owns rental property in Mexico, owns shares of Certus Financial Group, and sells life insurance, annuities, and long-term care insurance, as well as operating under the DBA Stevens and Ault Financial Services.
Employment History
Current Registrations
Spc
Sigma Financial CorporationBroker
Previous Registrations
The Planners Network, INC.
National Planning Corporation ("npc of America" in Fl & Ny)
National Planning CorporationBroker
H.D. Vest Investment Securities, INC.Broker
Secure Planning, INC.Broker
H.D. Vest Investment Securities, INC.Broker
State Registrations2 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.