DS
DS

David William Swain

8 Years of Experience
Broker
Areas of Practice
Financial Planning & CoachingRetirement PlanningInvestment ManagementTax PlanningEstate Planning
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
40 advisors
Number of Clients
7,702 clients
Average Client Portfolio
$392K average
Assets Under Management
$3.0B

Fee Structure

Minimum Investment:None
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Location

100 Corporate Woods, Suite 300, Rochester, NY, 14623

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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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Other Business Activities

David is a landlord of a rental property, dedicating a few hours per week to managing it. He also serves as Treasurer and liaison for the Rochester Police Foundation, a role that requires minimal time during trading hours.

Employment History
Current Registrations
Sage, Rutty & CO., INC.
March 2018 - Present · 7 yrs 11 mos
Sage, Rutty & CO., INC.Broker
November 2017 - Present · 8 yrs 3 mos
State Registrations26 states
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AdvisorBrokerBoth
Exams
No exam information available for this advisor.