David Sherlock is a registered investment advisor at LPL Financial LLC, based in Frisco, CO, with 27 years of industry experience. David is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.
Fee Estimator
Location
701 Granite St Ste 142, Frisco, CO, 80443
Get directionsHistory
Regulatory History (3)
Customer Dispute
August 2015Customer Dispute
September 2011Customer Dispute
August 2001Other Business Activities
David has a business entity for tax/investment purposes, Divide Asset Management LLC, requiring minimal time. He also uses the DBA Blue River Wealth Strategies for his LPL business.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Wells Fargo Advisors Financial Network, LLC
Wells Fargo Advisors Financial Network, LLCBroker
Banc of America Investment Services, INC.Broker
Banc of America Investment Services, INC.
Quick & Reilly, INC.
Quick & Reilly, INC.Broker
Gbi Capital Partners INC.Broker
State Registrations9 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.
Exams
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