David Wax is a CFP-designated registered investment advisor at Morgan Stanley, based in New York, NY, with 8 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
1 New York Plaza, Corp Equity Solutions & Annuities/Insurance Review, New York, NY, 10004
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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
Morgan Stanley
May 2025 - Present · 1 yr 2 mos
Morgan StanleyBroker
April 2025 - Present · 1 yr 3 mos
Previous Registrations
Realcadre LLCBroker
September 2021 - July 2024 · 2 yrs 10 mos
Oppenheimer & CO. INC.Broker
July 2019 - July 2021 · 2 yrs
Oppenheimer & CO. INC.
February 2019 - July 2021 · 2 yrs 5 mos
Roundangle Advisors LLC
July 2016 - February 2019 · 2 yrs 7 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.