David Walter Osborne

Sunbelt Securities

25 Years of Experience

2 DisclosuresBroker

View SEC Summary

Areas of Practice

Investment Management

Sunbelt Securities

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

64 advisors

Number of Clients

5,355 clients

Average Client Portfolio

$378K average

Assets Under Management

$2.0B

Fee Structure

Minimum Investment:$25K

Financial Planning:Investment management only

Location

2700 Post Oak Blvd Ste 1700, Houston, TX, 77056

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History

Regulatory History (2)

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.

Criminal

June 2019

Final Disposition

Customer Dispute

December 2000

Settled

View Full SEC Report How to Read Disclosures

Other Business Activities

David operates OA Capital as a Registered Representative under Sunbelt Securities, dedicating about a quarter of his time to this investment-related activity. He also owns DKO Investment Company LLC, an investment holding company, but spends no time on it.