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DL
DL
David Lau
Consolidated Portfolio Review CORP
23 Years of Experience
3 Disclosures
View SEC Summary
View SEC Summary
Areas of Practice
Investment Management
Retirement Planning
Tax Planning
Estate Planning
Financial Planning & Coaching
High Net Worth
Consolidated Portfolio Review CORP
Compensation
Fee-Only (AUM)
Fixed/Hourly
Firm Size
50 advisors
Number of Clients
4,821 clients
Average Client Portfolio
$269K average
Assets Under Management
$1.3B
Fee Structure
Investment Management
Planning
Minimum Annual Fee:
$90
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Location
Santa Rosa, CA
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History
Regulatory History (3)
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
.
Regulatory
March 2025
Final
Regulatory
November 2022
Final
Employment Separation After Allegations
March 2021
View Full SEC Report
How to Read Disclosures
Employment History
Current Registrations
Consolidated Portfolio Review CORP
April 2023 - Present · 2 yrs 10 mos
Previous Registrations
Gladstone Wealth Partners
April 2021 - April 2023 · 2 yrs
Morgan Stanley
June 2009 - April 2021 · 11 yrs 10 mos
Morgan Stanley
Broker
June 2009 - April 2021 · 11 yrs 10 mos
Morgan Stanley & CO. Incorporated
Broker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
February 2003 - April 2007 · 4 yrs 2 mos
Morgan Stanley Dw INC.
Broker
September 2002 - April 2007 · 4 yrs 7 mos
State Registrations
1 state
CA
Advisor
Exams
No exam information available for this advisor.