Harold Davidson & Associates Inc

CRD#110994
Investment Advisor Firm

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Overview

Harold Davidson & Associates Inc operates as a financial advisor company based in Los Angeles, California. The company handles $294.6 million in total assets throughout 309 customer accounts, placing it in the mid-tier of firms in the nation by assets under management (AUM). The firm has a small group of seven employees, including three financial advisors. Harold Davidson & Associates Inc does not act as a registered broker-dealer, meaning the advisor is not able to buy and sell securities for its customers' and own accounts and instead is required to go through a broker-dealer company to do so. Securities are tradable financial assets like stocks, options and bonds.

Harold Davidson & Associates Inc administers all of the firm's client assets in a discretionary manner. Discretionary management signifies that transaction judgments for the client's account are made by an investment advisor without requiring client approval. The firm's average account size is $953,461. The typical financial advisor at Harold Davidson & Associates Inc oversees about 103 client accounts.

Harold Davidson & Associates Inc's main office is located at 1900 Avenue Of The Stars, Los Angeles, California 90067. Harold Davidson & Associates Inc is legally permitted to serve customers in the state of California.

Assets Under Management

$294.6 million

Number of Advisors

3

Disclosures

No

Office Location

1900 Avenue Of The Stars
Los Angeles, CA 90067

Harold Davidson & Associates Inc by the Numbers

Total Assets Under Management

$294.6 million

National Average: $3.7 billion
Total Number of Employees

7

National Average: 29
Total Number of Accounts

309

National Average: 2,073
Average Account Size

$953.5 thousand

National Average: $1.8 million

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Products and Services

Harold Davidson & Associates Inc provides multiple services, which can include financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, publication of newsletters and other services. In the past financial year, it provided financial planning services to 1-10 of its clients. The firm is not engaged in selling products or offering services aside from investment advice to its investment advisory clients. It also has a number of financial industry affiliations, including with a real estate broker or dealer.

Core Advisor Services

  • Offered by 45% of firms

    Financial Planning Services

    This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

  • Offered by 62% of firms

    Portfolio Management

    This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

  • Find a firm that offers this service

    Market Timing Services

    This is the practice of attempting to make short-term profits on investments by buying low and selling high.

Other Services

  • Find a firm that offers this service

    Selection of Other Advisors

    This is the firm's assistance with choosing other advisors to work with who may have different specialties.

  • Offered by 4% of firms

    Publication of Periodicals

    This is the publication of various financial education materials.

  • Find a firm that offers this service

    Educational Seminars/Workshops

    This is the hosting of seminars or workshops to educate investors on financial concepts.

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Fee Structure

A financial advisor's fees vary depending on which services are offered. Fee types charged by the company most likely consist of the following fee structures: asset-based, hourly or fixed. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by Harold Davidson & Associates Inc.

Available

  • Offered by 74% of firms

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 35% of firms

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Offered by 40% of firms

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

Unavailable

  • Find one of the 2% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 17% of firms that offer this fee type

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

  • Find one of the 1% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 12% of firms that offer this fee type

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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Types of Clients

The company does business with a broad range of customers. Harold Davidson & Associates Inc works with retail investors, high net worth investors, pooled investment vehicles, pension plans, charitable organizations and corporations. Out of its 309 accounts, Harold Davidson & Associates Inc's largest client group is retail investors, but it also serves 80 high-net-worth individuals. A high-net-worth individual is defined by the SEC as an individual who has at least $750,000 in AUM or a net worth of at least $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the firm's customers are from outside of the U.S.

  • High-Net-Worth Individuals* - 25.89%
  • Other Individuals - 69.58%
  • Corporations - 3.56%
  • Charitable Organizations - 0.97%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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Disclosures

Harold Davidson & Associates Inc does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Harold Davidson & Associates Inc

Stephanie Hibler
Los Angeles, CA
Harold Davidson
Los Angeles, CA

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This content was compiled from the SEC and FINRA