Unclaimed Profile

David Ashley Fox

UNITED CAPITAL FINANCIAL ADVISERS, LLC·NEWPORT BEACH, California

SIE, Series 3, Series 7, Series 9, Series 10, Series 57TO, Series 63, Series 65Clean recordUNITED CAPITAL FINANCIAL ADVISERS, LLC

4000 MACARTHUR BLVD, NEWPORT BEACH, CA 92660CRD# 4008792Firm CRD# 134600

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

David Ashley Fox · NEWPORT BEACH, CA

Registration

CRD #4008792 · UNITED CAPITAL FINANCIAL ADVISERS, LLC

Brand Profile

Not yet started

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 7

Series 9

Series 10

Series 57TO

Series 63

Series 65

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

UNITED CAPITAL FINANCIAL ADVISORS, LLC

CRD 134600 · SEC 801-64376

AUM

$17.7B

Regulatory assets under management

Employees

288

49,991 client accounts

Services offered by UNITED CAPITAL FINANCIAL ADVISORS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Market timing services

Charitable organization or education services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at UNITED CAPITAL FINANCIAL ADVISORS, LLC →

Introduction

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Frequently Asked Questions

What services does David Ashley Fox offer?

David Ashley Fox specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in NEWPORT BEACH, California for a consultation.

What are David Ashley Fox's credentials?

David Ashley Fox is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is David Ashley Fox located?

David Ashley Fox is based in NEWPORT BEACH, California, working with UNITED CAPITAL FINANCIAL ADVISERS, LLC. Their office serves clients in the NEWPORT BEACH metropolitan area and surrounding communities.

How does David Ashley Fox charge for services?

David Ashley Fox's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is UNITED CAPITAL FINANCIAL ADVISERS, LLC?

UNITED CAPITAL FINANCIAL ADVISERS, LLC has approximately 288 employees and manages $17.7B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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