Paladin Research Report For:
Dave Stanfield
Evergreen Wealth Management
About Dave Stanfield
Dave grew up in the Seattle area. He attended the University of Washington and received a degree in Finance from the Foster School of Business. He began his career in the Financial Services industry in 1997 and has over 19 years experience working both with individuals and institutions. His first job after college was working for MetLife Insurance Company on Mercer Island, WA. He tailored life insurance strategies to meet client needs.
Following MetLife, Dave went to work for McDonald Investments in Bellevue, WA. The team worked on an institutional trading floor speaking to CFO's, CEO's and Municipalities discussing Fixed Income options for their short-term operating cash.
Dave wanted to return to working with individual clients and took a job with Fidelity Investments as an Account Executive in 2003. He worked at Fidelity for over 11 years and oversaw a book of approximately $290 million in assets. Over that 11 year period, Dave conducted thousands of client meetings building retirement and investment plans for clients in both the accumulation and distribution phase of life.
Dave is a CERTIFIED FINANCIAL PLANNER™ professional and Enrolled Agent (EA). An enrolled agent (EA) is a federally-authorized tax practitioner who has technical expertise in the field of taxation and who is empowered by the U.S. Department of the Treasury to represent taxpayers before all administrative levels - examination, collection, and appeals - of the Internal Revenue Service. In addition to taxpayer representation, enrolled agents often provide tax consultation services and prepare a wide range of federal and state tax returns.
Dave, his wife and their two children live in Scottsdale, Arizona the majority of the year and spend summers in Seattle where they are originally from. Dave is a Licensed Private Pilot, enjoys fishing, golf and traveling. Dave is also an active real estate investor. He received a Certificate in Commercial Real Estate from the University of Washington and is a member of a National Real Estate Investing association.
General Information
Firm Start Year
- 2015
CRD#
- 3075652
Firm CRD#
- 125004
Name of Broker/Dealer
- Regal Investment Advisors
Name of Custodial Firm
- Fidelity Investments
Years of Experience in Financial Services
- 25
Number of Years with Current Firm
- 7
Work Experience
- Evergreen Wealth Management
Mar 2015 - Present · 7 yrs 5 mos
Scottsdale, AZ / Seattle, WA.
I created Evergreen Wealth Management to offer clients customized Wealth Management services. Our goal is to spend necessary time to fully understand each client's individual needs and goals not only financially but personally. I work with clients to educate and coach them through the financial planning and investment management process. I have the flexibility to use a wide range of products. This can include active management investment solutions or time tested low expense investment vehicles. I would love to hear from you!
Fidelity Investments
Account Executive
Dec 2003 - Mar 2015 · 11 yrs 4 mos
Seattle, WA
Created and presented financial plans for clients in the accumulation and distribution phase of life. Specialized in retirement income planning. Presented complex strategies using mutual funds, ETF's and professional money management solutions. Oversaw a book of approximately $290 million in assets. Created and presented financial plans for clients in the accumulation and distribution phase of life. Specialized in retirement income planning. Presented complex strategies using mutual funds, ETF's and professional money management solutions. Oversaw a book of approximately $290 million in assets.
KeyBanc Capital Markets
Institutional Sales,
Aug 2000 - Nov 2003 · 3 yrs 4 mos
Institutional Sales Representative, August 2000 - November 2003: Develop relationships with CFO's, treasurers, and other finance staff in medium to large cap companies. Offer fixed income investment alternatives for company's short term operating cash. Sell agencies, corporate and government bonds, treasuries, commercial paper, and other money market investments. Support three other brokers as needed. Our four-person office manages $1 billion +. Use Bloomberg, Telerate, monroe trader, etc. daily.
MetLife
Financial Services Representative
Jun 1998 - Aug 2000 · 2 yrs 3 mos
Mercer Island, WA
Advise clients on aspects of financial management including education, retirement and estate planning. Consult and develop a wide range of Financial Plans tailored to meet client needs. Negotiate and prepare a wide range of business employee benefit insurance plans. Sold mutual funds, fixed and variable annuities, and a wide range of insurance products.
Work with the following types of clients
- Businesses, Individual Investors
Advisory Services Provided
- Education Funding and Planning, Financial Planning for Individuals, Financial Planning for Businesses, Tax Advice and Services, Risk Management, Financial Advice & Consulting, Investment Advice & Management, Insurance Products & Annuities, Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Money Management, Wealth Management
Compliance
Investment Advisor Representative
- Yes
Acknowledged fiduciary
- Yes
Compliance Disclosures in Last 5 years
- I have a clean record
Criminal Disclosures in Last 5 years
- I have a clean record
Qualifications & Membership
Certifications, Accreditations & Designations
- CFP®, EA
Securities Licenses
- Series 6, Series 63, Series 66
Insurance and Annuity Licenses
- Annuity, Health, Life, Long Term Care, Disability
Firm Information
Firm's Number of Clients
- 50
Firm's Number of Planning Clients
- 50
Firm's Number of Managed Clients
- 50
Assets Managed by Firm
- $35,000,000
Advisor's Number of Clients
- 100+ accts
Assets Managed by Advisor
- Upon request
Compensation and Fees
Fee Structure
- Fee-Based
Minimum Portfolio Size for New Managed Accounts
- $100,000
Compensation Methods
- Based on Assets, Flat Fee, Commissions
Fee % Based on Assets
- .95%
Additional Details on Charges
- Please find link to fee schedule, happy to discuss by email or phone as well with any questions. I do have a minimum asset amount for management but the more important thing is that the relationship is a good fit for both parties. https://ewealthmanage.com/services/fees-and-services
Minimum Fee Charged for Managed Accounts
- $0.00
Education
BAA - Finance
University of Washington / Finance
06/01/1995 -06/01/1997
Disclosures
PaladinRegistry.com provides referrals to financial professionals. PaladinRegistry.com is not a current client of advisor or advisory services. Financial professionals pay cash compensation for these referrals, which creates the incentive for PaladinRegistry.com to make these referrals, resulting in a conflict of interest.
https://ewealthmanage.com/
Additional Detailed Disclosures
https://www.paladinregistry.com/disclosure/1882593/paladinregistry-Evergreen-Wealth-Management-detailed-disclosure.html
Disclaimer
Investment advisory services offered through Regal Investment Advisors, LLC, an SEC Registered Investment Advisor. Registration with the SEC does not imply any level of skill or training. Evergreen Wealth Management LLC is independent of Regal Investment Advisors. Check the background of this firm on FINRA's BrokerCheck. Any tax advice from Dave Stanfield comes from his capacity as an Enrolled Agent. Investment advisory services offered through Regal Investment Advisors, LLC an SEC registered investment advisor. Registration with the SEC does not imply any level of skill or training. Evergreen Wealth Management, LLC, is independent of Regal Investment Advisors. Regal Investment Advisors LLC is not a law firm or an accounting firm. IRS Enrolled Agent (EA) - An EA is a federally authorized tax practitioner who has technical expertise in the field of taxation and who is empowered by the U.S. Department of the Treasury to represent taxpayers before all administrative levels of the IRS for audits, collections, and appeals. 'Enrolled' means to be licensed to practice by the federal government and 'Agent' means authorized to appear in the place of the taxpayer at the IRS. Only Enrolled Agents, attorneys, and CPAs may represent any taxpayer before the IRS. The license is earned in one of two ways: (1) passing a comprehensive examination which covers all aspects of the tax code, or (2) having worked at the IRS for five years in a position which regularly interpreted and applied the tax code and its regulations. All candidates are subjected to a rigorous background check conducted by the IRS. In addition to the stringent testing and application process, the IRS requires Enrolled Agents to complete 72 hours of continuing professional education, reported every three years, to maintain their Enrolled Agent status. Enrolled Agents are required to abide by the provisions of the Department of Treasury's Circular 230, which provides the regulations governing the practice of Enrolled Agents before the IRS.
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