DFC PREFERRED ADVISORS LLC
Adviser information for DFC PREFERRED ADVISORS LLC last updated from Form ADV on February 28th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 0 |
| 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 | 1 | $204.9M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $204.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $204.9M |
| 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 investment companies |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-119781 |
|---|---|
| SEC ERA File Number | 801-119781 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 309927 |
| Legal Entity Identifier | None |
Principal Office
443 N. WILLSON AVENUEBOZEMAN
MT
United States
Monday - Friday, 8:00AM-5:00PM
Tel: 877-855-3434, Fax: None
Chief Compliance Officer
MYLES BLECHNER
443 N. WILLSON AVENUE
BOZEMAN
MT
United States
Tel:
312-843-6161
M*************@****************M
(Full email address available in API data)
Regulatory Contact
ROBERT WATSON
PRESIDENT
443 N. WILLSON AVENUE
BOZEMAN
MT
United States
Tel:
877-855-3434
R*********@****************M
(Full email address available in API data)
Industry Affiliates
| DESTRA CAPITAL ADVISORS LLC | Other investment adviser, including financial planners |
| DESTRA CAPITAL INVESTMENTS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| DESTRA INSURANCE SERVICES LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DESTRA CAPITAL ADVISORS LLC | Domestic Entity | – | MEMBER AND MANAGER | 02/2021 | 50-75% |
| DESTRA CAPITAL MANAGEMENTLLC | Domestic Entity | DESTRA CAPITAL ADVISORS LLC | MEMBER | 08/2008 | > 75% |
| BLECHNER, MYLES, REID | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2020 | < 5% |
| FLAHERTY & CRUMRINE INCORPORATED | Domestic Entity | – | MEMBER | 02/2021 | 50-75% |
| WATSON, ROBERT | Individual | – | PRESIDENT | 02/2021 | < 5% |