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VERIFIEDDavid 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.
See Disclosures
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
Work with the following types of clients
Businesses, Individual Investors, Non-Profit Organizations
Advisory Services Provided
Financial Planning for Businesses, Financial Advice & Consulting, Investment Advice & Management, Financial Planning, Portfolio Management, Financial Planning for Individuals, Education Funding and Planning, Risk Management, Money Management, Wealth Management, 401K Rollovers, Retirement Planning
Services
Investment Types
Mutual Funds, Bonds, Stocks, Exchange Traded Funds (ETFs), Socially Responsible Investments (SRI)
Can meet clients in the following ways
Email, Your Office, Phone, Video Conference, Your Home, Our Office
Compliance
Registered Investment Advisor
Yes
Investment Advisor Representative
Yes
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®, 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
Disclosures
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Additional Detailed Disclosures
https://www.retirementplanning.net/disclosure/1872565/retirementplanning-Middleton-Advisory-detailed-disclosure.html