David Heroux
David Heroux is a registered investment advisor at Wealthspire Retirement Advisory, based in Aliso Viejo, CA, with 22 years of industry experience. David operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Retirement Planning. Their firm serves 6,585 clients with $120B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Wealthspire Retirement's investment management fees are based on a percentage of the assets in your plan or a flat fee, depending on the services you need. The exact fee is negotiable and depends on factors like the scope of services, complexity, duration, and the size of your plan. Asset-based fees will not exceed 1.60% of plan assets.
Location
120 Vantis, Suite 400, Aliso Viejo, CA, 92656
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 is a director at NFP, handling management, sales, and client contact, dedicating about 10-20% of his time. He is also a managing director for NFP Retirement, focusing on sales, service, portfolio management, and financial planning, taking about half his time, and is involved in insurance sales for David Heroux Insurance, spending minimal time. Additionally, David is a board member for the Boys and Girls Club and owns F Strat Holdings, Inc. for personal investments, spending minimal time on each.
Employment History
Current Registrations
Wealthspire Retirement Advisory
Kestra Investment Services, LLC
Kestra Investment Services, LLCBroker
Previous Registrations
NFP Advisor Services, LLC
Independent Financial Partners
LPL Financial LLCBroker
LPL Financial LLC
Questar Capital CorporationBroker
Questar Asset Management, INC.
Usallianz Securities, INC.Broker
Usallianz Securities, INC.
Westminster Financial Securities, INC.Broker
State Registrations11 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.