David J. Obrien
EVOADVISERS
Richmond, VA 23230
Some features on this profile are disabled
CRD#: 4776650
Professional summary
David John Obrien, CFP®, who also goes by David John O'brien, is a registered financial advisor currently at EVOADVISERS located in Richmond, Virginia.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. David has worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Biography
Dave is a CERTIFIED FINANCIAL PLANNER TM practitioner (CFP®) and received a BA and MBA from the University of Richmond and a Certificate in Financial Planning from Virginia Commonwealth University.
Dave is often quoted in The New York Times, Bloomberg, MarketPlace, InvestmentNews and other publications regarding financial planning and is a frequent speaker at industry conferences. He actively participates in the Financial Planning Coalition’s efforts to protect the public through client-centered accountability and transparency.
Dave was 2019-20 NAPFA Chair, led the Public Policy committee for four years and served on the Financial Planning Coalition for seven years. He has served on the NAPFA Compensation committee and the NAPFA South Region Board. He recently served on the CFP Board compensation task force and CFP Board professional standards task force and is a former president and chairman of the Central Virginia chapter of the Financial Planning Association.
In 2016, Dave co-founded Evolution Advisers - a continuation of O'Brien Financial Planning, a Fee-Only Registered Investment Advisory and Financial Planning firm he started in 2006 after 18 successful years at General Electric. While at GE, Dave developed expertise in business and financial management, and was called on to provide business leadership and consulting on a global basis. This experience at one of the world's best run businesses provided him with a depth of understanding how to deliver successful results.
Question & Answer
What are your service offerings?
Estate Planning
Retirement Planning
Investment Planning
Education Planning
Comprehensive Financial Planni...
Employee and Employer Plan Ben...
Do you have an area of expertise or specialization?
Business Owners
Corporate Executives
Entrepreneurs
High Net Worth Client Needs
Medical Professionals
Retirement Plan Investment Adv...
What is your minimum asset requirement?
1M
Are you a "fiduciary"?
Yes
Aliases
David John O'brien
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.
CRS (Client Relationship Summary) - RIA
Click below to view David John Obrien's 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®
Start date: 2007
Experience
Current
April 18, 2016 - Present
EVOADVISERS
Office #1: 2917 West Leigh Street, Richmond, VA 23230RIA
CRD#: 149615
Richmond, VA
Past
December 15, 2008 - May 24, 2016
O'BRIEN FINANCIAL PLANNING, INC.
RIA
CRD#: 147401
MIDLOTHIAN, VA
Past
June 1, 2006 - December 12, 2008
TOWER SQUARE SECURITIES, INC.
RIA
CRD#: 833
RICHMOND, VA
Past
April 26, 2006 - December 12, 2008
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
RICHMOND, VA
Past
August 16, 2004 - February 21, 2006
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
RICHMOND, VA
Past
March 25, 2004 - February 21, 2006
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
SCHAUMBURG, IL
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".
EVOADVISERS
AVENIR ADVISERS | LEAHY & CLAIR FINANCIAL MANAGEMENT | EVOLUTION ADVISERS, INC. | EVOADVISERS | CLAIR FINANCIAL MANAGEMENT
CRD#: 149615 / SEC#: 801-110783
RIA
Registered Investment Advisory firm - (7/10/2017 Approved)Virginia
Registered Investment Advisory firm - (2/8/2018 Terminated)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
Virginia(4/18/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
EVOADVISERS
AVENIR ADVISERS | LEAHY & CLAIR FINANCIAL MANAGEMENT | EVOLUTION ADVISERS, INC. | EVOADVISERS | CLAIR FINANCIAL MANAGEMENT
CRD#: 149615 / SEC#: 801-110783
RIA
Registered Investment Advisory firm - (7/10/2017 Approved)Virginia
Registered Investment Advisory firm - (2/8/2018 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
2917 West Leigh Street, Richmond, VA 23230
Mailing Address
Phone number
(804) 794-1981
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,357 |
| AUM (Assets Under Management) | $ 270,996,007 |
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.
Company Information
EVOADVISERS
CRD#: 149615Richmond, VA 23230TRUST BUT VERIFY
Monitor David Obrien
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
