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David Middleton

Middleton Advisory

3 Bethesda Metro Center
Suite 700

Bethesda, MD 20814
(202) 5034015

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

7

Number of Years with Current Firm

3

I work with the following types of clients

Individual Investors, Businesses, Non-Profit Organizations

Services

Investment Types

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

I can meet clients in the following ways

Via phone, Via email, At your home, At your office, At my office

Compliance

Registered Investment Advisor

Yes

Registered Representative

No

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

CERTIFIED FINANCIAL PLANNER™ Certificant, Accredited Investment Fiduciary┬« (AIF)

Securities Licenses

Series 65

Compensation and Fees

Fee Structure

Fee Only

Minimum Portfolio Size for New Managed Accounts

$500,000

Compensation Methods

Based on Assets

Fee % Based on Assets

0.92%

Additional Details on Charges

An initial financial plan may be delivered for clients at a fee ranging from $450 to $1950, depending on complexity. After initial delivery, any additional planning is included with the ongoing investment management fee, 0.92% of managed assets.

Education

Bachelors of Science - Mechanical Engineering

Georgia Institute of Technology
- May 2007

Certificate in Financial Planning - Financial Planning

New York University
- May 2014