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Other Names: David E Grubman
Type: RIA

David Grubman is a financial professional at Financial Engines Advisors L.L.C., an $88B RIA based in Sunnyvale, CA. David has held an industry securities registration for 6 years and is subject to SEC oversight.

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Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

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Top Guides

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Firm Client Types

High Net Worth Individuals
State or Municipal Government Entities
Other Investment Advisors

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Financial Engines Advisors L.L.C. 7 years, 3 months Jan 2007 - Present
Peak Technology Group 1 year, 11 months Jan 2005 - Dec 2006
Pyramid Digital Solutions 10 years, 2 months Oct 1994 - Dec 2004
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 06/04/2007, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

License Status

No Disclosures Found

As of Date
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.

Advisor Exams

Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 06/11/2007

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees