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DB

David Marcus Baum

Capacuity LLC
42 Years of Experience
Broker
View SEC Summary
View SEC Summary
Areas of Practice
Retirement PlanningInvestment Management
Capacuity LLC
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
10 advisors
Number of Clients
85 clients
Average Client Portfolio
$124.7M average
Assets Under Management
$10.6B

Fee Structure

Financial Planning:Investment management only

Location

Frisco, TX

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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
Capacuity Securities, INC.
November 2022 - Present · 3 yrs 3 mos
Capacuity Securities, INC.Broker
November 2022 - Present · 3 yrs 3 mos
Capacuity LLC
October 2022 - Present · 3 yrs 4 mos
Previous Registrations
Newport Group Consulting, LLC
January 2018 - August 2022 · 4 yrs 7 mos
Newport Group Securities, INC.
February 2015 - December 2017 · 2 yrs 10 mos
Newport Group Securities, INC.Broker
October 2010 - August 2022 · 11 yrs 10 mos
Metlife Securities INC.Broker
November 2009 - September 2010 · 10 mos
New England SecuritiesBroker
December 2008 - February 2010 · 1 yr 2 mos
Fas CORP.Broker
August 2004 - January 2009 · 4 yrs 5 mos
Bg Worldwide Securities, INC.Broker
January 2004 - August 2004 · 7 mos
UBS Financial Services INC.Broker
July 2002 - January 2004 · 1 yr 6 mos
One Securities CorporationBroker
November 1998 - July 2002 · 3 yrs 8 mos
MML Investors Services, INC.Broker
March 1996 - April 1996 · 1 mo
Mutual Service CorporationBroker
April 1995 - December 1998 · 3 yrs 8 mos
Fringe Benefit Investment Services, INC.Broker
August 1994 - April 1995 · 8 mos
G. R. Phelps & CO., INC.Broker
February 1992 - March 1996 · 4 yrs 1 mo
New England SecuritiesBroker
February 1992 - July 1994 · 2 yrs 5 mos
Directed Services, INC.Broker
September 1988 - May 1989 · 8 mos
Mutual Benefit Financial Service CompanyBroker
June 1988 - May 1991 · 2 yrs 11 mos
Mutual Benefit Financial Service CompanyBroker
October 1987 - May 1991 · 3 yrs 7 mos
New England Securities CorporationBroker
January 1986 - November 1987 · 1 yr 10 mos
Sma Equities, INC.Broker
February 1985 - December 1985 · 10 mos
Pruco Securities CorporationBroker
May 1984 - March 1985 · 10 mos
Pruco Securities CorporationBroker
October 1982 - January 1984 · 1 yr 3 mos
The Prudential Insurance Company of AmericaBroker
March 1982 - January 1984 · 1 yr 10 mos
State Registrations38 states
AKALARAZCACOCTDEFLGAHIIAIDILINKSKYMAMDMIMNMONCNENJNVNYOHOKORPASCTNTXUTVAWAWI
AdvisorBrokerBoth
Exams
No exam information available for this advisor.