Thomas V. David

ROCKPORT WEALTH ADVISORS

Fairview Park, OH 44126

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CRD#: 5648448

Professional summary

Thomas Valentine David, CFP® is a registered financial advisor currently at ROCKPORT WEALTH ADVISORS located in Fairview Park, Ohio.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Thomas has worked at 4 firms and has passed the Series 65 and SIE 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.

Lorain County Community College Adjunct Faculty Employee - beginning May, 2024- Lorain County, Ohio. Working approximately 16 hours per month during the school year. Not investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Valentine David'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

Experience

Current

June 26, 2024 - Present

ROCKPORT WEALTH ADVISORS

Office #1: 22730 Fairview Center Dr Suite# 150, Fairview Park, OH 44126

RIA

CRD#: 297122

Fairview Park, OH

Past

November 23, 2020 - August 3, 2021

ST. CLAIR ADVISORS, LLC

RIA

CRD#: 155064

MAYFIELD HEIGHTS, OH

Past

January 10, 2020 - April 7, 2020

STRATEGIC VALUE BANK PARTNERS LLC

RIA

CRD#: 282228

Cleveland, OH

Past

March 12, 2009 - August 17, 2018

CM WEALTH ADVISORS LLC

RIA

CRD#: 119467

CLEVELAND, OH

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".

ROCKPORT WEALTH ADVISORS

J ARNOLD WEALTH MANAGEMENT | ROCKPORT WEALTH, LLC | ROCKPORT WEALTH ADVISORS | ROCKPORT WEALTH

CRD#: 297122 / SEC#: 801-126796

RIA

Registered Investment Advisory firm - (10/27/2022 Approved)

Indiana

Registered Investment Advisory firm - (11/2/2022 Terminated)

Michigan

Registered Investment Advisory firm - (11/21/2022 Terminated)

Ohio

Registered Investment Advisory firm - (11/1/2022 Terminated)

Texas

Registered Investment Advisory firm - (11/1/2022 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

Ohio
(6/26/2024)

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: 12/10/2008

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 2/7/2022

Securities Industry Essentials Examination

Current Firm

ROCKPORT WEALTH ADVISORS

J ARNOLD WEALTH MANAGEMENT | ROCKPORT WEALTH, LLC | ROCKPORT WEALTH ADVISORS | ROCKPORT WEALTH

CRD#: 297122 / SEC#: 801-126796

RIA

Registered Investment Advisory firm - (10/27/2022 Approved)

Indiana

Registered Investment Advisory firm - (11/2/2022 Terminated)

Michigan

Registered Investment Advisory firm - (11/21/2022 Terminated)

Ohio

Registered Investment Advisory firm - (11/1/2022 Terminated)

Texas

Registered Investment Advisory firm - (11/1/2022 Terminated)

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Contact information

Main Address

22730 Fairview Center Dr Suite# 150, Fairview Park, OH 44126

Mailing Address

Phone number

(216) 226-4560

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ROCKPORT ADV 2A MARCH 2025 (10/14/2025)

ROCKPORT WRAP FEE BROCHURE 2-12-24 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	2,748
AUM (Assets Under Management)	$ 568,661,117

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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Thomas V. David

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Valentine David's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROCKPORT WEALTH ADVISORS

ST. CLAIR ADVISORS, LLC

STRATEGIC VALUE BANK PARTNERS LLC

CM WEALTH ADVISORS LLC

Primary Firm SEC Registration

ROCKPORT WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/10/2008

SIE

Date: 2/7/2022

Current Firm

ROCKPORT WEALTH ADVISORS

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROCKPORT WEALTH ADVISORS

TRUST BUT VERIFY

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