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David Rosenthal, CFP

Wealth Management Solutions, LLC

8550 E Shea Blvd #130

Scottsdale, AZ 85260
(480) 6094334

"Bringing Clarity to Complex Situations"

About Wealth Management Solutions, LLC

If you are an entrepreneur with a business or are thinking about selling your business, a corporate executive with complex company benefits, a divorcee figuring out your finances, or just looking to retire soon, then my experience will be of benefit to you. Each type of client I work with has a unique set of circumstances and needs, but the common thread is a piece of mind you will get from having a professional manage your assets, provide financial planning expertise and ultimately maximize your wealth. Wealth Management is a combination Investment Management + Financial Planning. I will help you maximize your wealth by managing your investments, income tax planning, estate and gift planning, maximizing your company benefits (401(k), restricted stock, stock options, deferred compensation plans), and when income is needed turning your investments into a reliable income stream. To provide you with a consistent, high-quality level of service, we maintain only a select number of client relationships, and get to know your situation inside and out. This allows us to provide you with timely, personal advice. You can be confident in the advice we give, as we will happily put it in writing. As a client, you will receive detailed follow up emails after our meetings so we can ensure there is no question as to what we are recommending, and why.

General Information

Firm Start Year

2003

No.of Employees

2-4

CRD#

2680280

Firm CRD#

127517

Name of Custodial Firm

Charles Schwab & CO. and TD Ameritrade

States Licensed in

AZ

Years of Experience in Financial Services

20

Number of Years with Current Firm

12

Work Experience

I have been a wealth manager for 20 years. For the past 12 years I have owned my own firm, Wealth Management Solutions. Previously, I worked for a national CPA firm as their wealth manager for 3 years. I started in finance working in New Jersey for a financial planning firm for 5 years before moving to Arizona. Throughout my career I have had the opportunity to work with Business Owners, Divorcees, Retirees, Corporate Executives, and High Net Worth Families. This diverse background has given me first hand experience working with people in many different stages of their lives. As a wealth manager, I provide valuable advice in all areas of financial planning and investment management to help my clients achieve their financial goals.

I work with the following types of clients

Families, Individual Investors, Businesses, Non-Profit Organizations

Services

Investment Types

Stocks, Exchange Traded Funds (ETFs), Alternative Investments, Mutual Funds, Bonds, International Investments, Socially Responsible Investments (SRI)

I can meet clients in the following ways

At my office, At your home, At your office, Via email, Via phone

Compliance

Registered Investment Advisor

Yes

Registered Representative

Yes

Investment Advisor Representative

Yes

I am an acknowledged fiduciary

Yes

Compliance Disclosures in Last 5 years

I have a clean record

Criminal Disclosures in Last 5 years

I have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations

CERTIFIED FINANCIAL PLANNER™ Certificant

Securities Licenses

Series 65

Financial Organization Memberships

Financial Planning Association (FPA), National Association of Personal Financial Advisors (NAPFA)

Firm Information

Firm's Number of Clients

55

Firm's Number of Planning Clients

45

Firm's Number of Managed Clients

55

Assets Managed by Firm

$80,000,000

Advisor's Number of Clients

55

Advisor's Number of Managed Clients

55

Advisor's Number of Planning Clients

45

Assets Managed by Advisor

$80,000,000

Compensation and Fees

Fee Structure

Fee Only

Minimum Portfolio Size for New Managed Accounts

$500,000

Compensation Methods

Flat Fee

Fee % Based on Assets

1

Hourly Rate

$200

Flat Fee Rate

Varies

Additional Details on Charges

We work on a fee-only basis which means we can only be compensated by our clients - we do not receive financial incentives from any third party such as brokerage firms, investment companies, or insurance companies.

This is our only method of compensation and it is the same way you compensate other professionals you depend on for specialized knowledge and services, for example your doctor, CPA or attorney. Paying your advisor directly eliminates several potential conflicts of interest because our advice is not impacted by the interests of third parties.

Minimum Fee Charged for Managed Accounts

$6,000.00

Minimum Fee Charged for Flat Fee Accounts

$6,000.00

Disclosures

http://www.wmsus.com/?disclosure