DW
David P. Walters
PALISADES HUDSON ASSET MANAGEMENT, L.P.
HILLSBORO, OR 97006
Some features on this profile are disabled
CRD#: 5680186
DW
Professional summary
David Patrick Walters, CFP® is a registered financial advisor currently at PALISADES HUDSON ASSET MANAGEMENT, L.P. located in Hillsboro, Oregon.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. David has worked at 1 firm .
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.
NAME: PALISADES HUDSON FINANCIAL GROUP LLC; NON-INVESTMENT RELATED; ADDRESS: 1915 NE STUCKI AVENUE STE. 400, HILLSBORO, OR 97006; NATURE OF BUSINESS: FINANCIAL PLANNING FIRM; POSITION: CLIENT SERVICE MANAGER; START DATE: 06/10/2002; HOURS/MONTH DEVOTED TO THIS BUSINESS: 100; HOURS DEVOTED TO THIS BUSINESS DURING SECURITIES TRADING HOURS: 3 HOURS/DAY
CRS (Client Relationship Summary) - RIA
Click below to view David Patrick Walters'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®
Experience
Current
July 16, 2009 - Present
PALISADES HUDSON ASSET MANAGEMENT, L.P.
Office #1: 1915 Ne Stucki Avenue Suite 400, Hillsboro, OR 97006RIA
CRD#: 109134
HILLSBORO, OR
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".
PH
PALISADES HUDSON ASSET MANAGEMENT, L.P.
PALISADES HUDSON ASSET MANAGEMENT INC | PALISADES HUDSON ASSET MANAGEMENT, L.P.
CRD#: 109134 / SEC#: 801-55677
RIA
Registered Investment Advisory firm - (6/29/1998 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.Highlighted states indicate IAR registrations
IAR
Oregon(8/21/2012)
Exams
Current Firm
PH
PALISADES HUDSON ASSET MANAGEMENT, L.P.
PALISADES HUDSON ASSET MANAGEMENT INC | PALISADES HUDSON ASSET MANAGEMENT, L.P.
CRD#: 109134 / SEC#: 801-55677
RIA
Registered Investment Advisory firm - (6/29/1998 Approved)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
200 Sw First Avenue Suite 800, Fort Lauderdale, FL 33301
Mailing Address
Phone number
(954) 524-5552
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 174 |
| AUM (Assets Under Management) | $ 1,655,681,302 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 01/17/2024 | ||
| 02/15/2023 |
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.
