For over 30 years, our mission has been to place our clients' interests first, to provide comprehensive financial planning and investment management, and to be a premier provider of innovative and timely strategies that ensure every client meets their established lifetime objectives.

Firm Start Year

1989

No.of Employees

10-19

CRD#

2063597

Firm CRD#

174434

States Licensed in

OH, KY, IL, IN, FL, TN, TX, CA, CO, AZ

Years of Experience in Financial Services

30

Number of Years with Current Firm

20

Work Experience

Dave is Chief Investment Officer, serves as Senior Advisor for many client relationships and is a member of the Investment Policy Committee. He is a CERTIFIED FINANCIALPLANNER? and Certified Trust and Financial Advisor with thirty years of professional investment management and financial planning experience. He graduated from Villanova University with a Bachelor of Science, Accounting and a Master of Science, Taxation. His educational background also includes the College for Financial Planning and the Cannon Financial Institute. He began his career with the Vanguard Group, a leading mutual fund company, where he was a Senior Investment Advisor along with facilitating the creation of a new managed account service. His professional memberships include the National Association of Personal Financial Advisors, the Financial Planning Association, the Cincinnati Estate Planning Council, the American Bankers Association, and the Paladin Registry. He retired his service on the Finance and Investment Committee for the Cincinnati Association for the Blind and Visually Impaired, a non-profit community service organization. Dave is recognized as a Five-Star Advisor through Paladin Registry and as a 2008 Reuters Top Advisor. In 2009, Businessweek Ranked Dave as one of the Top 50 Independent Investment Advisors in the country.

Work with the following types of clients

Non-Profit Organizations, Individual Investors

Advisory Services Provided

Financial Advice & Consulting

Investment Types

Real Estate, Annuities, Mutual Funds, Bonds, Stocks, Exchange Traded Funds (ETFs), Alternative Investments

Can meet clients in the following ways

Video Conference, Our Office, Via Phone, Via Email

Registered Investment Advisor

Yes

Acknowledged fiduciary

Yes

Compliance Disclosures in Last 5 years

Have a clean record

Criminal Disclosures in Last 5 years

Have a clean record

Certifications, Accreditations & Designations

CFP^®, Certified Trust and Financial Advisor (CTFA), Accredited Investment Fiduciary® (AIF)

Securities Licenses

(Not needed as an RIA), Series 65

Financial Organization Memberships

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

Firm's Number of Clients

350

Firm's Number of Planning Clients

275

Firm's Number of Managed Clients

350

Assets Managed by Firm

$520M

Assets Managed by Advisor

$520M

Fee Structure

Fee-Only

Minimum Portfolio Size for New Managed Accounts

$5,000

Compensation Methods

Based on Assets

Additional Details on Charges

Fees vary depending on the service level provided, but typically average less than 1%.

Bachelor's of Science - Accounting

Villanova University
September 1985 - May 1989

Master's - Taxation

Villanova University
September 1996 - April 2001