TrueAdvisor
TrueAdvisor
MK
MK

Michael David Kaplan

Dorsey, Wright & Associates, LLC
7 Years of Experience
Broker
View SEC Summary
View SEC Summary
Areas of Practice
Investment Management
Dorsey, Wright & Associates, LLC
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
21 advisors
Number of Clients
815 clients
Average Client Portfolio
$927K average
Assets Under Management
$755.1M

Fee Structure

Minimum Investment:$100K
Financial Planning:Investment management only
Minimum Annual Fee:$1,250

Location

151 West 42nd Street, New York, NY, 10036

Get directions

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.

Learn about disclosures →
Employment History
Current Registrations
Nasdaq Capital Markets Advisory LLC
April 2021 - Present · 4 yrs 10 mos
Nasdaq Capital Markets Advisory LLCBroker
April 2021 - Present · 4 yrs 10 mos
Dorsey, Wright & Associates, LLC
March 2021 - Present · 4 yrs 11 mos
Previous Registrations
Nasdaq Execution Services, LLCBroker
August 2020 - December 2021 · 1 yr 4 mos
LPL Financial LLCBroker
February 2016 - August 2016 · 6 mos
Ing Financial Partners, INC.Broker
January 2014 - March 2014 · 2 mos
AXA Advisors, LLCBroker
May 2012 - January 2014 · 1 yr 8 mos
State Registrations1 state
VA
Advisor
Exams
No exam information available for this advisor.