| Advisor Profile |
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| Name: |
David Hoctor |
| Phone Number: |
(713) 574-9422 |
| Website: |
Visit Website
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Business Description |
| As an Independent Certified Financial Planner, my role is to advise my client as to their best course of action. I am not compensated for selling investments or insurance. My position in the industry allows my clients to buy investments and insurance without loads and agency commissions. I am paid to give thorough, educated advice. I prioritize consistent and frequent portfolio reviews. Maintaining a small firm allows me to retain a high degree of familiarity with all my clients. |
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General Information |
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| Years of Experience in Financial Services: |
13
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| Number of Years with Current Firm: |
8
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| Work Experience: |
Morgan Stanley in 1995.
After five successful years I started my own firm.
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| I work with the following types of clients: |
Individual Investors
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Services |
| Investment Types: |
Insurance, Mutual Funds, Options & Futures, Annuities, Alternative Investments, Bonds, Stocks
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Accredited Investment Fiduciary® (AIF), CERTIFIED FINANCIAL PLANNER (CFP®)
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| Financial Organization Memberships: |
Center for Fiduciary Studies, Paladin Registry, Financial Planning Association (FPA)
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| Non-Financial Organization Memberships: |
United Nations Association, World Affairs Council
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| Firm's Number of Clients: |
50
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| Assets Managed by Firm: |
$12,000,000
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| Advisor's Number of Clients: |
50
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| Assets Managed by Advisor: |
$12,000,000
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Compliance |
| Registered Investment Advisor: |
Yes
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| I am an acknowledged fiduciary: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation & Fees |
| I am a fee-only financial professional: |
Yes
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| Minimum Portfolio Size for New Managed Accounts: |
$100,000
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| Compensation Methods: |
Flat Fee, Based on Assets
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| Additional Details on Charges: |
I waive all commissions and loads on investment and insurance products. I am a fee-only advisor and charge my clients directly for the advice I provide. Investment management services are billed as a percentage of assets under management. This percentage ranges from 0.5% to 1.5%. Generally the comprehensive financial planning services I offer are covered by this fee. However, if more extensive financial planning is needed there may be an additional fee.
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| Prepared By: |
David Hoctor |
| Most Recent Update: |
05/21/2008 |
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