DR
DR
David Rice
31 Years of Experience
Carrolltron, TX
8 DisclosuresSells Insurance
David Rice is a registered investment advisor at The Helix Financial Group, based in Carrolltron, TX, with 31 years of industry experience. David operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Investment Management, Retirement Planning, Tax Planning. Their firm serves 219 clients with $82M in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2 advisors
Number of Clients
219 clients
Average Client Portfolio
$376K average
Assets Under Management
$82.4M
Fee Structure
Minimum Investment:$50K
Investment management only (planning not offered)
Minimum Annual Fee:$50
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
Fees are negotiable.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location
4425 Plano Parkway, Suite 804, Carrolltron, TX, 75010
Get directionsHistory
Regulatory History (8)
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.
Regulatory
March 2007Final
Customer Dispute
January 2005Settled
Customer Dispute
December 2002Settled
Employment Separation After Allegations
July 1998Employment Separation After Allegations
January 1998Customer Dispute
February 1994Settled
Regulatory
August 1992Final
Criminal
July 1991Final Disposition
Other Business ActivitiesSells Insurance
David's firm, The Helix Financial Group, sells insurance products since 2007.
Employment History
Current Registrations
The Helix Financial Group
March 2009 - Present · 17 yrs 2 mos
Previous Registrations
Gunnallen Financial, INCBroker
July 2001 - August 2004 · 3 yrs 1 mo
Fox & Company Investments INC.Broker
June 1999 - July 2001 · 2 yrs 1 mo
Gkn Securities CORP.Broker
August 1997 - February 1998 · 6 mos
Global Strategies Group, INC.Broker
June 1997 - August 1997 · 2 mos
Tuscany Equity Management Corporati0nBroker
June 1996 - November 1997 · 1 yr 5 mos
The Agean Group, INCBroker
March 1996 - June 1996 · 3 mos
H.J. Meyers & CO., INC.Broker
April 1994 - March 1996 · 1 yr 11 mos
Tamaron Investments, INC.Broker
June 1992 - March 1994 · 1 yr 9 mos
J. W. Gant & Associates, INC.Broker
October 1988 - June 1992 · 3 yrs 8 mos
The Stuart-James Company, IncorporatedBroker
August 1988 - October 1988 · 2 mos
State Registrations1 state
TX
Advisor
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.