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Featured Business Financial Advisor in Scottsdale, AZ
Scottsdale Financial Advisors
Wealth Management Solutions, LLC
8550 E Shea Blvd #130
Scottsdale, AZ 85260
(480) 609-4334
“"Bringing Clarity to Complex Situations"”
Advisor Profile
David Rosenthal, CFP
Name:  David Rosenthal, CFP
Phone Number:  (480) 609-4334
Website:  Visit Website
Disclosure Link:
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About Wealth Management Solutions, LLC

If you are an entrepreneur with a business or are thinking about selling your business, a corporate executive with complex company benefits, a divorcee figuring out your finances, or just looking to retire soon, then my experience will be of benefit to you. Each type of client I work with has a unique set of circumstances and needs, but the common thread is a piece of mind you will get from having a professional manage your assets, provide financial planning expertise and ultimately maximize your wealth. Wealth Management is a combination Investment Management + Financial Planning. I will help you maximize your wealth by managing your investments, income tax planning, estate and gift planning, maximizing your company benefits (401(k), restricted stock, stock options, deferred compensation plans), and when income is needed turning your investments into a reliable income stream. To provide you with a consistent, high-quality level of service, we maintain only a select number of client relationships, and get to know your situation inside and out. This allows us to provide you with timely, personal advice. You can be confident in the advice we give, as we will happily put it in writing. As a client, you will receive detailed follow up emails after our meetings so we can ensure there is no question as to what we are recommending, and why.
 

General Information

I work with the following types of clients:    Businesses, Individual Investors, Non-Profit Organizations, Families
Number of Years with Current Firm:    12
Name of Custodial Firm:    Charles Schwab & CO. and TD Ameritrade
States Licensed in:    AZ
Firm CRD#:    127517
Work Experience:    I have been a wealth manager for 20 years. For the past 12 years I have owned my own firm, Wealth Management Solutions. Previously, I worked for a national CPA firm as their wealth manager for 3 years. I started in finance working in New Jersey for a financial planning firm for 5 years before moving to Arizona. Throughout my career I have had the opportunity to work with Business Owners, Divorcees, Retirees, Corporate Executives, and High Net Worth Families. This diverse background has given me first hand experience working with people in many different stages of their lives. As a wealth manager, I provide valuable advice in all areas of financial planning and investment management to help my clients achieve their financial goals.
CRD#:    2680280
SEC File#:    801-67190
Gender:    Male
Years of Experience in Financial Services:    20
 

Education

Academic Background
 
I have a BS and MBA in Finance from Seton Hall University (1995).

I have focused my continuing education courses on financial issues pertinent to Business Owners, Divorcees, Retirees, Executives and High Net Worth Families.
 

Services

I can meet clients in the following ways:    At your office, Via email, Via phone, At my office, At your home
Investment Types:    Mutual Funds, Bonds, Stocks, Exchange Traded Funds (ETFs), Alternative Investments, Socially Responsible Investments (SRI), International Investments
 

Qualifications & Memberships

Financial Organization Memberships:    Financial Planning Association (FPA), National Association of Personal Financial Advisors (NAPFA)
Securities Licenses:    Series 65
Certifications, Accreditations & Designations:    CERTIFIED FINANCIAL PLANNER™ Certificant
 

Firm Information

Firm's Number of Managed Clients:    55
Firm's Number of Planning Clients:    45
Advisor's Number of Managed Clients:    55
Advisor's Number of Planning Clients:    45
Firm's Number of Clients:    55
Advisor's Number of Clients:    55
Assets Managed by Advisor:    $80,000,000
Assets Managed by Firm:    $80,000,000
 

Compliance

I am an acknowledged fiduciary:    Yes
Investment Advisor Representative:    Yes
Registered Representative:    Yes
Registered Investment Advisor:    Yes
Compliance Disclosures in Last 5 years:    I have a clean record
Criminal Disclosures in Last 5 years:    I have a clean record
 

Compensation and Fees

Flat Fee Rate:    Varies
Minimum Fee Charged for Flat Fee Accounts:    $6,000.00
Fee Structure:    Fee Only
Minimum Fee Charged for Managed Accounts:    $6,000.00
Minimum Portfolio Size for New Managed Accounts:    $500,000
Compensation Methods:    Based on Assets, Hourly, Flat Fee
Additional Details on Charges:    We work on a fee-only basis which means we can only be compensated by our clients - we do not receive financial incentives from any third party such as brokerage firms, investment companies, or insurance companies.

This is our only method of compensation and it is the same way you compensate other professionals you depend on for specialized knowledge and services, for example your doctor, CPA or attorney. Paying your advisor directly eliminates several potential conflicts of interest because our advice is not impacted by the interests of third parties.
Fee % Based on Assets:    1
Hourly Rate:    $200
 
 
 

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