TrueAdvisor
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DU
DU

David Stephen Ulm

Dai Wealth, LLC
13 Years of Experience
Broker
View SEC Summary
View SEC Summary
Areas of Practice
Investment ManagementRetirement PlanningEstate PlanningInsurance PlanningFinancial Planning & CoachingHigh Net Worth
Dai Wealth, LLC
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
22 advisors
Number of Clients
1,404 clients
Average Client Portfolio
$190K average
Assets Under Management
$267.4M

Fee Structure

Minimum Investment:None

Location

2800 Century Parkway Ne, Suite 650, Atlanta, GA, 30345

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History

Regulatory History
Clean regulatory record

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.

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Employment History
Current Registrations
Dai Securities, LLCBroker
March 2025 - Present · 11 mos
Dai Wealth, LLC
January 2025 - Present · 1 yr 1 mo
Previous Registrations
Frontier Asset Management, LLC
March 2018 - March 2025 · 7 yrs
Cedar Capital, LLC
February 2015 - July 2016 · 1 yr 5 mos
Foreside Fund Services, LLCBroker
October 2014 - July 2016 · 1 yr 9 mos
Good Harbor Financial
March 2014 - January 2015 · 10 mos
Northern Lights Distributors, LLCBroker
January 2014 - October 2014 · 9 mos
Invesco Advisers, INC.
February 2013 - January 2014 · 11 mos
Invesco Distributors, INC.Broker
November 2012 - January 2014 · 1 yr 2 mos
Franklin/templeton Distributors, INC.Broker
January 2011 - October 2012 · 1 yr 9 mos
State Registrations1 state
MN
AdvisorBrokerBoth
Exams
No exam information available for this advisor.