DBS INVESTMENT ADVISERS, LLC
Adviser information for DBS INVESTMENT ADVISERS, LLC last updated from Form ADV on February 27th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Michigan, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 939 | $228.7M |
| Non-Discretionary | 0 | $0 |
| Total | 939 | $228.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 505 | $48.3M |
| HNW Individuals | 27 | $71.5M |
| 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 | 79 | $108.7M |
| 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 | 1 | $107,510 |
| 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 | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesSHARE IN THIRD PARTY ADVISORY FEES |
Identifiers
| SEC RIA File Number | 801-116815 |
|---|---|
| SEC ERA File Number | 801-116815 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 123283 |
| Legal Entity Identifier | None |
Principal Office
6006 WESTSIDE SAGINAW ROADBAY CITY
MI
United States
Monday - Friday, 8:30 A.M. - 5:30 P.M. (ET)
Tel: 800-327-2377, Fax: 989-686-5380
Chief Compliance Officer
THEODORE C. SCHUMANN II
MANAGING PARTNER
6006 WESTSIDE SAGINAW ROAD
BAY CITY
MI
United States
Tel:
800-327-2377
Fax:
989-686-5380
T***********@********T
(Full email address available in API data)
Regulatory Contact
REAGN DUPERON
CLIENT SERVICES MANAGER
6006 WEST SIDE SAGINAW ROAD
BAY CITY
MI
United States
Tel:
800-327-2377
Fax:
989-686-5380
R************@********T
(Full email address available in API data)
Industry Affiliates
| DBS PROFESSIONAL PRACTICE BROKERS | Real estate broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SCHUMANN, THEODORE, CHRISTOPHER | Individual | – | CHIEF COMPLIANCE OFFICER/MEMBER | 12/2016 | > 75% |