David N. Hale

PERIGON WEALTH MANAGEMENT

San Francisco, CA 94105

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CRD#: 4340566

Professional summary

David Nathan Hale, CFP® is a registered financial advisor currently at PERIGON WEALTH MANAGEMENT, LLC located in San Francisco, California and PURSHE KAPLAN STERLING INVESTMENTS located in San Francisco, California.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. David has worked at 8 firms and has passed the Series 66, Series 99TO, SIE, Series 31 and Series 7 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.

1.) Mr. Hale is dually-registered with Perigon Wealth Management and Purshe Kaplan Sterling Investments, Inc. ("PKS"). Mr. Hale has served as a Wealth Advisor for Perigon Wealth Management LLC since 04/2018 and as a registered representative with PKS since 07/2018. Business is conducted from 201 Mission Street, Suite 1825,San Francisco, CA, USA. Approximately 90% of Mr. Hale's time is spent overseeing business development and client service including portfolio review and recommendations and the balance as a registered representative. 2.) Battle Creek Meadows Ranch, Inc. Director. Timber and Range Management. 5 Hours a month. Zero hours during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Nathan Hale'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®

CFP^®

Certified Financial Planner

Start date: 2018

Experience

Current

May 1, 2018 - Present

PERIGON WEALTH MANAGEMENT, LLC

Office #1: 201 Mission Street Suite 1825, San Francisco, CA 94105

RIA

CRD#: 131037

San Francisco, CA

Current

July 23, 2018 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 201 Mission Street Suite 1825, San Francisco, CA 94105

CRD#: 35747

San Francisco, CA

Past

August 15, 2012 - September 5, 2018

AVONDALE PARTNERS, LLC

RIA

CRD#: 46838

San Francisco, CA

Past

July 31, 2012 - July 24, 2018

AVONDALE CONQUEST, LLC

RIA

CRD#: 122821

SAN FRANCISCO, CA

Past

July 30, 2012 - July 20, 2018

AVONDALE PARTNERS, LLC

CRD#: 46838

San Francisco, CA

Past

July 2, 2012 - August 20, 2012

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

SAN FRANCISCO, CA

Past

September 2, 2008 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

SAN FRANCISCO, CA

Past

August 29, 2008 - August 3, 2012

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN FRANCISCO, CA

Past

September 1, 2006 - September 16, 2008

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SAN FRANCISCO, CA

Past

September 1, 2006 - September 16, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SAN FRANCISCO, CA

Past

May 22, 2001 - September 6, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SAN FRANCISCO, CA

Past

March 20, 2001 - September 6, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

SAN FRANCISCO, CA

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".

PERIGON WEALTH MANAGEMENT, LLC

CRD#: 131037 / SEC#: 801-62988

RIA

Registered Investment Advisory firm - (4/7/2004 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(9/13/2024)

IAR

California
(5/1/2018)

California
(7/23/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/19/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/2/2001

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/19/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PERIGON WEALTH MANAGEMENT, LLC

CRD#: 131037 / SEC#: 801-62988

RIA

Registered Investment Advisory firm - (4/7/2004 Approved)

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Contact information

Main Address

201 Mission Street Suite 1825, San Francisco, CA 94105

Mailing Address

Phone number

(877) 977-2555

Established

Firm type

Fiscal year end

# of Employees

141

SEC notice filing (41 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PERIGON WRAP FEE PROGRAM BROCHURE (3/28/2025)

PERIGON DISCLOSURE BROCHURE AND PRIVACY POLICY (3/28/2025)

Regulatory assets under management

Total Number of Accounts	15,456
AUM (Assets Under Management)	$ 8,714,418,958

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/24/2024	Cover Page	Report
10/24/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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

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David N. Hale

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Nathan Hale's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

AVONDALE PARTNERS, LLC

AVONDALE CONQUEST, LLC

AVONDALE PARTNERS, LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

PERIGON WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/19/2001

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 5/2/2001

Series 7

Date: 3/19/2001

FINRA

Current Firm

PERIGON WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (41 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PERIGON WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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