David Kempton
David Kempton is a registered investment advisor at Commonwealth Financial Network, based in Carlsbad, CA, with 14 years of industry experience. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 399,450 clients with $210B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Commonwealth Financial Network offers investment management through various programs like PPS Custom, PPS Select, and PPS Direct. Fees are generally calculated as a percentage of your portfolio, including cash and money market positions. The exact fees vary depending on the specific program and the agreement between you and your advisor.
Commonwealth generally offers two types of fee schedules: blended and breakpoint. With a blended schedule, different portions of your portfolio are charged at different rates. With a breakpoint schedule, the fee rate declines as your portfolio value reaches certain levels. All fees are negotiable between the advisor and client.
Location
5780 Fleet Street, #170, Carlsbad, CA, 92008
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
David sells fixed insurance products since October 2024, spending minimal time on this activity. This activity is investment related.
Employment History
Current Registrations
Commonwealth Financial NetworkBroker
Commonwealth Financial Network
Previous Registrations
Catalina Capital Group, LLC
Oneamerica Securities, INC.Broker
Scf Securities, INC.Broker
Scf Investment Advisors, INC.
Woodbury Financial Services, INC.
Woodbury Financial Services, INC.Broker
1st Global Capital CORP.Broker
Wells Fargo Investments, LLCBroker
Wells Fargo Securities INC.Broker
State Registrations1 state
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.