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David Keith Pettus

BLUE ROCK CAPITAL
ALLEN, TX
·CRD# 7079933·7 years experience

Professional Summary

David Keith Pettus is a registered financial advisor currently at BLUE ROCK CAPITAL located in Allen, Texas. David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. David has worked at 1 firm and has passed the Series 65 exam.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

7 years in the financial services industry

Current & Past Employments

BLUE ROCK CAPITAL·CRD# 300876
RIA
Allen, TX
July 26, 2019 - Present

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Current Firm

BR
BLUE ROCK CAPITAL

BLUE ROCK CAPITAL | BLUE ROCK CAPITAL, LLC

CRD#: 300876
Louisiana
Registered Investment Advisory firm - Louisiana (12/11/2023 Approved)
Mississippi
Registered Investment Advisory firm - Mississippi (8/15/2020 Approved)
Texas
Registered Investment Advisory firm - Texas (7/26/2019 Approved)

Contact Information

Main Address

Allen, TX

Phone Number

(832) 465-5504

# of Employees

1

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

62

AUM (Assets Under Management)

$3,600,000

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

I am a managing member of Front Porch Investments LLC, which invests in single family housing units. I am not involved in any day-to-day management activities. I am only involved in a voting capacity on major decisions. The maximum time spent on these activities is an average of 2 hours per week. Additionally, I am the Managing Member for Bald Eagle Asset Management, LLC. This LLC owns 2 small investments: 1) a 1% interest in Houston Cider, LLC and 2) a 1% working interest in one producing oil well through Dynamic Exploration out of Lafayette, LA. I have recently taken steps to assign my 1% working interest in this well to Dynamic, so in 2021 or 2022, I will no longer be a working interest partner in this well. Bald Eagle Asset Management, LLC only requires about 1 hour per month of my time, and it is not a distraction from my chosen work of servicing my investment clients through Blue Rock Capital, LLC.

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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.
IAR
Louisiana
(12/11/2023)
IAR
Mississippi
(8/26/2020)
IAR
Texas
(7/26/2019)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jun 2019About the Series 65 exam

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CRS (Client Relationship Summary) - RIA

Click below to view David Keith Pettus's CRS (Customer Relationship Summary).

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