David Ocasio
David Ocasio is a ChFC-designated registered investment advisor at Horter Investment Management, LLC, based in Purcellville, VA, with 5 years of industry experience. David operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 1,337 clients with $310M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.99% |
Maximum annual fee is 1.99% for standard portfolio management programs. Certain strategies like indexed retirement funds (0.50%), alternative investments (1.25%), and non-discretionary accounts (0.10%) have different rates. Fees are negotiable.
Fee Estimator
Location
Purcellville, VA
Get directionsHistory
Regulatory History (3)
Financial
April 2018Criminal
November 1997Criminal
September 1996Other Business ActivitiesSells Insurance
David is a VP of Sales at Highland Capital Brokerage, focusing on insurance and annuity sales, dedicating about a quarter of his time. He also owns Ocasio Financial Services, dealing with FIAs, fixed annuities, and life insurance, taking about half of his time.
Employment History
Current Registrations
Horter Investment Management, LLC
Previous Registrations
Patriot Advisory Group
State Registrations2 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.
Exams
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