David Farrell
David Farrell is a registered investment advisor at Osaic Wealth, INC., based in Kingwood, TX, with 28 years of industry experience. David operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Education Planning, Estate Planning, Investment Management, and 1 more. Their firm serves 574,829 clients with $200B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Wealth offers investment management through several platforms, including Advisor Managed Portfolios, Unified Managed Accounts, and Signator Managed Account Platform. Fees are negotiable and based on a percentage of the assets in your account. The fees cover advisory services, custodial services, and in some cases, transaction costs. Mutual funds and ETFs within these accounts have their own internal fees. Some programs have wrap accounts where all costs are bundled into one fee.
Location
700 Rockmead Dr, Ste 213, Kingwood, TX, 77339
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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 ActivitiesSells Insurance
David works as an insurance agent, dedicating a few hours per week to insurance sales. He also works nearly full-time as an investment advisor representative (IAR) and uses Precept Wealth Management as a marketing name for his office.
Employment History
Current Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Previous Registrations
Securities America Advisors, INC.
Securities America, INC.Broker
Ameriprise Financial Services, LLCBroker
Ameriprise Financial Services, LLC
Lincoln Financial Securities Corporation
Lincoln Financial Securities CorporationBroker
Intersecurities, INC.Broker
State Registrations3 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.