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David Matthew Carroll

Rockbridge Investment Management, LLC

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About David Matthew Carroll

David Carroll is a financial advisor with Rockbridge Investment Management, LLC. David has 10 years of experience in the financial industry, with previous experience at WELLS FARGO ADVISORS, LLC and MUTUAL OF OMAHA INVESTOR SERVICES, INC.. David holds the Series 6, 7, and 66 securities licenses. David is a Certified Financial Planner and specializes in Retirement Planning, College Savings Plans, and Estate Planning. David is located in Syracuse, New York and works with clients nationwide.

Firm Information

David Carroll is currently registered with Rockbridge Investment Management, LLC. Rockbridge Investment Management, LLC is an investment advisor headquartered in Syracuse, New York. The firm manages approximately $1 billion - $10 billion in assets for high-net-worth individuals, corporations, charitable organizations, pension and profit-sharing plans, and individuals other than high-net-worth. The firm's services include financial planning and portfolio management for businesses and individuals.
Rockbridge Investment Management, LLC

220 SOUTH WARREN STREET

SYRACUSE, NY 13202

$1.49B

Assets Under Management

Not reported

Total Clients

10

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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David Carroll’s Registration & Firm History

NY

05/07/2021 - Present

Rockbridge Investment Management, LLC (SYRACUSE NY)

NY

11/07/2013 - 10/30/2014

WELLS FARGO ADVISORS, LLC (SYRACUSE NY)

NY

07/09/2012 - 05/13/2013

MUTUAL OF OMAHA INVESTOR SERVICES, INC. (YORKVILLE NY)

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Licenses & Designations

BOTH

Issued 12/20/2013

Series 66 - Uniform Combined State Law Examination

BC

Issued 07/17/2012

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/30/2014

SIE - Securities Industry Essentials Examination

BC

Issued 11/24/2013

Series 7 - General Securities Representative Examination

BC

Issued 07/06/2012

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for David Matthew Carroll.
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