DOMINION PORTFOLIO MANAGEMENT, INC.
Adviser information for DOMINION PORTFOLIO MANAGEMENT, INC. last updated from Form ADV on March 20th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 21 |
|---|---|
| Investment Advisory/Research | 21 |
| Registered Broker-Dealer Representatives | 21 |
| Registered State Investment Advisers | 21 |
| Licensed Agents of an Insurance Company | 15 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 948 | $151.6M |
| Non-Discretionary | 2 | $1.5M |
| Total | 950 | $153.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 931 | $121.1M |
| HNW Individuals | 19 | $31.9M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-115280 |
|---|---|
| SEC ERA File Number | 801-115280 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 106918 |
| Legal Entity Identifier | None |
Principal Office
1002 MARBLE HEIGHTS DRSUITE 101
MARBLE FALLS
TX
United States
Monday - Friday, 8:00 A.M. TO 5:00 P.M.
Tel: 813-264-0440, Fax: None
Websites
Chief Compliance Officer
SAAD RAHMOUNI
CHIEF COMPLIANCE OFFICER
2701 N ROCKY POINT DRIVE
SUITE 201
TAMPA
FL
United States
Tel:
813-264-0440
S********@*********M
(Full email address available in API data)
Regulatory Contact
RAMESHWAR SINGH
PRESIDENT OF ADVISORY
N ROCKY POINT DRIVE
2701
TAMPA
FL
United States
Tel:
813-605-0913
R*****@*********M
(Full email address available in API data)
Industry Affiliates
| CALTON & ASSOCIATES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| PEAKSHARES LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CALTON, DWAYNE, KENT | Individual | – | PRESIDENT/DIRECTOR | 07/2023 | < 5% |
| CALTON, DEREK, JAY | Individual | – | VICE PRESIDENT/DIRECTOR | 07/2023 | < 5% |
| CICCATI, RANDALL, LEE | Individual | – | CEO/DIRECTOR | 07/2023 | < 5% |
| SINGH, RAMESHWAR | Individual | – | DIRECTOR / SECRETARY /PRESIDENT OF ADVISORY SERVICES | 07/2023 | < 5% |
| RICHARDSON, PAUL, REID | Individual | – | CHIEF OPERATING OFFICER | 07/2023 | < 5% |
| Fussa Ocasio, Fernando | Individual | – | CHIEF FINANCIAL OFFICER/FINOP | 07/2023 | < 5% |
| RAHMOUNI IDRISSI, SAAD | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2023 | < 5% |
| CALTON & ASSOCIATES, INC. | Domestic Entity | – | SHAREHOLDER | 07/2023 | > 75% |