David Thomas Tracy

Employer firm

Focus Partners Wealth, LLC CRD 159289

$182B regulatory AUM 1,500 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2007 → 11/2016
  Commonwealth Financial Network
  Waltham, MA
• 04/2007 → 09/2021
  Legacy Wealth Partners
  Calabasas, CA
• 11/2016 → 02/2019
  Triad Advisors, Inc.
  Norcross, GA
• 02/2019 → 09/2021
  M. S. Howells & Co.
  Scottsdale, AZ
• 09/2021 → Present
  The Colony Group, Llc
  Calabasas, CA

Previous Registrations

• 2016-11-14 → 2021-10-15
  Legacy Wealth Partners Inc.
  Calabasas, CA
• 2007-11-01 → 2016-11-11
  Commonwealth Financial Network
  Woodland Hills, CA

Exams

• S66 Uniform Combined State Law Examination
  2007-03-07

Designations

• Certified Financial Planner