National Retirement Planning Experts

National Coverage
Local Professionals

seller-profile

David Middleton

Middleton Advisory

3 Bethesda Metro Center
Suite 700

Bethesda, MD 20814

202-503-4015

Independent Financial Advice

About Middleton Advisory

Middleton Advisory is a fee-only Registered Investment Adviser in Bethesda, MD, founded by David Middleton to begin his private practice. Services are offered in the entire state and surrounding areas, with the ability to take on clients across the country. David's mission is to help clients implement the best possible investment strategies based on their unique needs.

After several years of experience at T. Rowe Price, David founded a completely independent firm, with no obligation to any broker-dealer or investment company. This allows Middleton Advisory to completely avoid investments that carry sales loads or commissions. Instead, a variety of low-cost investment funds are used to implement prudent strategies, following the principles of diversification and asset allocation.

General Information

Firm Start Year

2010

No.of Employees

1

CRD#

5398638

Firm CRD#

155334

States Licensed in

MD

Years of Experience in Financial Services

14

Number of Years with Current Firm

10

I work with the following types of clients

Non-Profit Organizations, Individual Investors, Businesses

Advisory Services Provided

Financial Planning for Businesses, Financial Planning for Individuals, Education Funding and Planning, Risk Management, Money Management, Wealth Management, Retirement Planning, Portfolio Management, Financial Planning, Investment Advice & Management, Financial Advice & Consulting, 401K Rollovers

Services

Investment Types

Stocks, Mutual Funds, Bonds, Exchange Traded Funds (ETFs), Socially Responsible Investments (SRI)

I can meet clients in the following ways

Video Conference, Via Email, At my office, Via Phone, At your home, At your office

Compliance

Registered Investment Advisor

Yes

Investment Advisor Representative

Yes

I am an acknowledged fiduciary

Yes

Compliance Disclosures in Last 5 years

I have a clean record

Criminal Disclosures in Last 5 years

I have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations

CFP®, CERTIFIED FINANCIAL PLANNER, AIF®

Securities Licenses

Series 65

Firm Information

Advisor's Number of Clients

23

Advisor's Number of Managed Clients

23

Advisor's Number of Planning Clients

23

Assets Managed by Advisor

~$16,000,000

Compensation and Fees

Fee Structure

Fee Only

Minimum Portfolio Size for New Managed Accounts

$500,000

Fee % Based on Assets

0.92%

Education

Bachelors of Science - Mechanical Engineering

Georgia Institute of Technology
- May 2007

Certificate in Financial Planning - Financial Planning

New York University
- May 2014