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DW
CFP · ChFC
DW
CFP · ChFC

David Warshaw

The Wealthplan LLC
21 Years of Experience
Great Neck, NY
1 DisclosureSells Insurance
View SEC Summary
View SEC Summary

David Warshaw is a CFP, ChFC-designated registered investment advisor at The Wealthplan LLC, based in Great Neck, NY, with 21 years of industry experience. David operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments, Business Owners, Estate Planning, High Net Worth, and 4 more. Their firm serves 132 clients with $87M in assets under management.

The Wealthplan LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1 advisor
Number of Clients
132 clients
Average Client Portfolio
$663K average
Assets Under Management
$87.5M

Fee Structure

Minimum Investment:$250K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.25%
$1.0M - $3.0M0.90%
$3.0M - $5.0M0.75%
$5M+0.60%

Fees are negotiable based on historical relationships, asset types, and account composition. Alternative investment access carries an optional fee of up to 1.5%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

60 Cutter Mill Road, Suite 100-G, Great Neck, NY, 11021

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History

Regulatory History (1)
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.
Customer Dispute
January 2022
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

David works as an insurance agent for WealthPlan Risk Management LLC, selling life insurance, fixed annuities, and other fixed insurance products since 2003. This activity takes about 10-20% of his time.

Employment History
Current Registrations
The Wealthplan LLC
November 2020 - Present · 5 yrs 11 mos
Previous Registrations
Blueprint Wealth Alliance, LLC
March 2018 - March 2020 · 2 yrs
American Portfolios Advisors, INC
October 2010 - January 2017 · 6 yrs 3 mos
American Portfolios Financial Services, INC.Broker
October 2010 - January 2017 · 6 yrs 3 mos
Ameriprise Financial Services, INC.Broker
October 2003 - October 2010 · 7 yrs
Ids Life Insurance CompanyBroker
October 2003 - July 2006 · 2 yrs 9 mos
State Registrations4 states
FLNJNYTX
Advisor

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
No exam information available for this advisor.
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