Neal Davis
Neal Davis is a registered investment advisor at Silver Oak Securities, INC., based in Simi Valley, CA, with 25 years of industry experience. Neal operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Investment Management, and 2 more. Their firm serves 8,671 clients with $2B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Silver Oak Securities offers investment management through its Compass and AdvisorFX programs. The advisor fee is negotiable, with a maximum of 2% of assets. In addition to the advisor fee, there is a platform fee that includes a flat $45 per year and an asset-based fee between 0.08% and 0.15% for Compass accounts, and 0.20% for AdvisorFX accounts. Fees are billed quarterly or monthly, either in arrears or in advance. The platform fee covers access to account data, performance reporting, and other services.
Location
2655 1st Street, Suite 250, Simi Valley, CA, 93065
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 ActivitiesSells Insurance
Neal is an insurance agent selling life, annuities, and long-term care, dedicating a few hours per week. He also works full-time in financial planning, investment management, and insurance sales through HBW Partners, ORIA HBW Advisory Services, and HBW Insurance and Financial Services, and spends minimal time as a trustee for his parents' trust.
Employment History
Current Registrations
Silver Oak Securities, IncorporatedBroker
Hbw Advisory Services LLC
Previous Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Cetera Advisor Networks LLC
Cuso Financial Services, L.P.Broker
Cuso Financial Services, L.P.
CUNA Brokerage Services, INC.
CUNA Brokerage Services, INC.Broker
Quick & Reilly, INC.Broker
Robert W. Baird & CO. IncorporatedBroker
Northwestern Mutual Investment Services, LLCBroker
State Registrations4 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.