David Carroll is a registered investment advisor at Trek Financial, based in Scottsdale, AZ, with 23 years of industry experience. David operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 5,035 clients with $2.5B 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 $250K | 1.50% |
| $250K - $500K | 1.50% |
| $500K - $1.0M | 1.50% |
| $1.0M - $2.5M | 1.25% |
| $2.5M - $5.0M | 1.00% |
| $5.0M - $10.0M | 0.85% |
| $10M+ | 0.70% |
Fees may be subject to negotiation depending upon unique circumstances. Fees assessed on different assets in a portfolio may vary, depending on restrictions and complexity of management. In addition to the advisory fee, a platform fee is charged. Third-party managers and sub-advisors will charge an additional fee.
Fee Estimator
Location
8355 East Hartford Drive, Suite 105, Scottsdale, AZ, 85255
Get directionsHistory
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 is an agent/rep for insurance sales and investments since 2004, dedicating minimal time to it. He also holds appointments with carriers for fixed life, health, LTC, and disability insurance, and is part of Trusted Business Advisors Team, LLC.
Employment History
Current Registrations
Trek Financial
Previous Registrations
Trusted Business Advisor Group
Trusted Business Advisor Group
AXA Advisors, LLC
United Planners' Financial Services of America a Limited Partner
AXA Advisors, LLC
Phoenix Wealth Advisors
Mony Securities Corporation
State Registrations1 state
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.