David R. Naylor

SOUNDHAVEN CAPITAL MANAGEMENT

Westlake Village, CA

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CRD#: 1979541

Professional summary

David Robert Naylor is a registered financial advisor currently at SOUNDHAVEN CAPITAL MANAGEMENT located in Westlake Village, California.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. David has worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Robert Naylor's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 28, 2014 - Present

SOUNDHAVEN CAPITAL MANAGEMENT

RIA

CRD#: 170821

Westlake Village, CA

Past

January 26, 2011 - June 3, 2014

GLOBALMACRO CAPITAL MANAGEMENT, LLC

RIA

CRD#: 153819

WHEATON, IL

Past

August 24, 2010 - December 31, 2010

GLOBALMACRO CAPITAL MANAGEMENT, LLC

RIA

CRD#: 153819

WHEATON, IL

Past

June 4, 2007 - April 16, 2010

WEST COAST ASSET MANAGEMENT,INC.

RIA

CRD#: 111982

MONTECITO, CA

Past

August 1, 2005 - April 30, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

LOS ANGELES, CA

Past

August 1, 2005 - April 30, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

LOS ANGELES, CA

Past

February 11, 2005 - August 1, 2005

BOFA ADVISORS, LLC

RIA

CRD#: 107900

BOSTON, MA

Past

June 21, 2004 - August 1, 2005

BOFA DISTRIBUTORS, INC.

CRD#: 30683

BOSTON, MA

Past

January 1, 2003 - February 11, 2005

BACAP DISTRIBUTORS, LLC

RIA

CRD#: 46088

CHARLOTTE, NC

Past

January 1, 2003 - June 21, 2004

BACAP DISTRIBUTORS, LLC

CRD#: 46088

CHARLOTTE, NC

Past

December 31, 2000 - January 1, 2003

STEPHENS

RIA

CRD#: 3496

CHARLOTTE, NC

Past

August 9, 1996 - January 1, 2003

STEPHENS

CRD#: 3496

LITTLE ROCK, AR

Past

August 29, 1989 - August 12, 1994

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SOUNDHAVEN CAPITAL MANAGEMENT

NAYLOR CAPITAL LLC | SOUNDHAVEN CAPITAL MANAGEMENT

CRD#: 170821 / SEC#: 801-130719

RIA

Registered Investment Advisory firm - (7/19/2024 Approved)

California

Registered Investment Advisory firm - (9/7/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(4/28/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/11/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/28/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/19/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 3/24/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/13/2001

General Securities Principal Examination

Current Firm

SOUNDHAVEN CAPITAL MANAGEMENT

NAYLOR CAPITAL LLC | SOUNDHAVEN CAPITAL MANAGEMENT

CRD#: 170821 / SEC#: 801-130719

RIA

Registered Investment Advisory firm - (7/19/2024 Approved)

California

Registered Investment Advisory firm - (9/7/2024 Terminated)

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Contact information

Main Address

Westlake Village, CA

Mailing Address

Phone number

(818) 292-1474

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 NAYLOR CAPITAL LLC (7/10/2025)

Regulatory assets under management

Total Number of Accounts	313
AUM (Assets Under Management)	$ 159,412,239

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

David R. Naylor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Robert Naylor's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLOBALMACRO CAPITAL MANAGEMENT, LLC

GLOBALMACRO CAPITAL MANAGEMENT, LLC

WEST COAST ASSET MANAGEMENT,INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BOFA ADVISORS, LLC

BOFA DISTRIBUTORS, INC.

BACAP DISTRIBUTORS, LLC

BACAP DISTRIBUTORS, LLC

STEPHENS

STEPHENS

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

SOUNDHAVEN CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 2/11/1997

Series 63

Date: 8/28/1989

Series 7

Date: 8/19/1989

Series 51

Date: 3/24/2003

Series 24

Date: 4/13/2001

Current Firm

SOUNDHAVEN CAPITAL MANAGEMENT

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOUNDHAVEN CAPITAL MANAGEMENT

TRUST BUT VERIFY

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