Palisade Financial
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Palisade Financial serves individual and high‑net‑worth clients, offering ongoing discretionary portfolio management and financial planning documented in a written Investment Policy Statement. The firm manages a broad set of investment types — including mutual funds, equities, bonds, ETFs, REITs, hedge funds, private placements, and insurance products — and provides regular portfolio monitoring and implementation.
The adviser builds client‑specific Investment Policy Statements, generally operates with discretionary trading authority, and reviews accounts at least monthly while taking outside client assets into account when setting strategy. Its methods include fundamental, technical, and cyclical analysis, and it employs both long‑ and short‑term trading as well as short sales and options writing (including uncovered strategies), which involve elevated risk.
Notable distinctions include a relatively large asset base for a small advisory team and a custody practice that requires clients to use the firm’s recommended custodian, which can limit client selection of broker/dealer and is associated with receiving research or other soft‑dollar benefits. The firm aggregates (block) trades across accounts, does not participate in wrap fee programs, and does not accept performance‑based or third‑party sales compensation.
Client services
Expertise
Fee options
$1 - $500,000: 1.00% annually Above $500,000+: 0.50% annually
Main office
Orinda CA
Advisors at this office
1
Most active in
California
Also doing business as
David John Carroll · Palisade Financial
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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