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W David Buss, MBA

W David Buss, MBA
Other Names: William David Buss
Firm:
He'e Nalu Investing, Inc.
President and Chief Compliance Officer
Type: RIA
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Description

David Buss is an Investment Advisor Representative and the owner of He’e Nalu Investing, Inc. in Thousand Oaks, CA. He'e Nalu Investing, Inc. primarily manages investment portfolios for individuals and high net worth individuals and has more than $9M in assets under management. David provides comprehensive financial planning ...(see more)

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

W David Buss, MBA has not answered any questions on Financial Q&A.

Top Guides

W David Buss, MBA has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Advisor Assets Under Management

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$9.5M
Total Assets
64
Clients
$148.0K
Estimated Average Account Balance Per Client
*An individual AUM and number of accounts has been entered by the advisor and has not been verified.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals

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

Experience and Employment History

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Employer Years Dates
He'e Nalu Investing, Inc. 7 years, 4 months Jan 2006 - Present
Citigroup Global Markets Inc. 2 years, 9 months Apr 2003 - Jan 2006
Dean Witter Reynolds Inc. 9 years, 5 months Nov 1993 - Apr 2003
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 08/18/2010, 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

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Regulator
SEC
FINRA
License Status
Registered
Not registered
Disclosures

1 Customer Dispute

1 Customer Dispute
As of Date
08/18/2010
05/16/2012
*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.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 09/07/2005
National Commodity Futures Examination Series 3 04/29/1994
Uniform Securities Agent State Law Examination Series 63 02/04/1994
General Securities Representative Examination Series 7 01/27/1994
General Securities Sales Supervisor Examination (Options Module & GeneralModule) Series 8 08/01/1988
Investment Company Products/Variable Contracts Representative Examination Series 6 03/12/1986

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges