David Ocasio
David Ocasio is a ChFC-designated registered investment advisor at Horter Investment Management, LLC, based in Cincinnati, OH, with 4 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, Investment Management, Retirement Planning, Tax Planning. Their firm serves 1,302,710 clients with $280M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Horter Investment Management charges an annual advisory fee based on a percentage of the value of your investments, assessed quarterly. The maximum annual fee is 1.99%, which includes investment management, program administration, and financial professional compensation. Fees may be negotiable based on factors like client type and account size. Horter offers different portfolio management programs with varying fees. For retirement plan asset management using indexed funds, the fee is 0.50%. Non-discretionary accounts are charged 0.1% with a $50 minimum quarterly fee.
Location
11726 Seven Gables Rd, Symmes Township, Cincinnati, OH, 45249
Get directionsHistory
Regulatory History (3)
Financial
April 2018Criminal
November 1997Criminal
September 1996Other Business ActivitiesSells Insurance
David is a VP of Sales at Highland Capital Brokerage, focusing on insurance and annuity sales, dedicating about a quarter of his time. He also owns Ocasio Financial Services, dealing with FIAs, fixed annuities, and life insurance, taking about half of his time.
Employment History
Current Registrations
Horter Investment Management, LLC
Previous Registrations
Patriot Advisory Group
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.