David Smith is a registered investment advisor at Rockefeller Capital Management, based in Dallas, TX, with 35 years of industry experience. David operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 35,950 clients with $70B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Rockefeller Financial offers investment advisory services for a fee, either as a flat annual dollar amount or as a percentage of the value of your portfolio. The specific fee will depend on the type of advisory service you receive and will be agreed upon with your advisor. The fees you pay may differ from those paid by other clients, based on factors like the scope and size of your relationship, the complexity of your needs, and your advisor's approach.
Location
300 Crescent Court, Suite 1450, Dallas, TX, 75201
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 Activities
David is an officer of Smith Fresh Water Flies, an LLC involved in small farming of goats and fish, since 2012.
Employment History
Current Registrations
Rockefeller Capital Management
Rockefeller Financial LLCBroker
Previous Registrations
UBS Financial Services INC.Broker
UBS Financial Services INC.
Credit Suisse Securities (USA) LLCBroker
Credit Suisse Securities (USA) LLC
Lehman Brothers INC.
Lehman Brothers INC.Broker
Morgan Stanley
Morgan Stanley Dw INC.Broker
Bear, Stearns & CO. INC.Broker
Smith Barney INC.Broker
Lehman Brothers INC.Broker
J. W. Gant & Associates, INC.Broker
State Registrations31 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.