David Roth
David Roth is a CFP-designated registered investment advisor at Prosperity Capital Advisors, based in Westford, MA, with 8 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 7,096 clients with $3.7B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $500K | 0.60% |
| $500K - $1000K | 0.50% |
| $1.0M - $2.0M | 0.40% |
| $2.0M - $5.0M | 0.35% |
| $5M+ | 0.30% |
The platform fee tier schedule is based on billable assets and excludes non-billable assets such as unmanaged accounts. The total annual fee for investment management services for retail clients typically varies between 0.20% and 2.0% depending upon several factors, including the market value of the assets under management and the types of services to be rendered. PCA charges a $150.00 minimum annual investment management fee which may result in a fee greater than 2.0%.
Fee Estimator
Location
6 Lyberty Way, Unit 202, Westford, MA, 01886
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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 provides fixed insurance, tax planning, management, preparation, and business consulting services through Alison Wealth Management and Breezy Day Tax, spending a few hours per week on this. He also owns Breezy Day Productions, contracting DJs and producing music, dedicating about 10-20% of his time to this endeavor.
Employment History
Current Registrations
Prosperity Capital Advisors
Previous Registrations
Newly Wealth LLC
State Registrations3 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.