DMK ADVISOR GROUP, INC.
Adviser information for DMK ADVISOR GROUP, INC. last updated from Form ADV on January 9th, 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 | MARCH |
| Legal Location | Colorado, United States |
Employees
| Total Number of Employees | 36 |
|---|---|
| Investment Advisory/Research | 25 |
| Registered Broker-Dealer Representatives | 36 |
| Registered State Investment Advisers | 25 |
| Licensed Agents of an Insurance Company | 26 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 417 | $56.6M |
| Non-Discretionary | 7 | $167,306 |
| Total | 424 | $56.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 230 | $22.4M |
| HNW Individuals | 70 | $34.3M |
| 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 | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 56.7M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| MANAGED MONEY PORTFOLIOS | DMK ADVISOR GROUP, INC. |
Identifiers
| SEC RIA File Number | 801-121389 |
|---|---|
| SEC ERA File Number | 801-121389 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 41067 |
| Legal Entity Identifier | None |
Principal Office
17961 HUNTING BOW CIRCLESUITE 102
LUTZ
FL
United States
Monday - Friday, 8AM - 4:30PM ET
Tel: 813-996-6100, Fax: 813-996-6117
Chief Compliance Officer
ERIN BASKETT
17961 HUNTING BOW CIRCLE
SUITE 102
LUTZ
FL
United States
Tel:
636-675-3746
Fax:
636-675-3746
E*************@******************M
(Full email address available in API data)
Regulatory Contact
HAROLD SCHWARTZ
CEO
17961 HUNTING BOW CIRCLE
SUITE 102
LUTZ
FL
United States
Tel:
303-470-5664
H***********@******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KOHN, STEPHEN ALAN | Individual | – | PRES | 01/2020 | < 5% |
| PEREZ, JORGE RAMON | Individual | – | DIRECTOR | 01/2020 | 10-25% |
| GALLIGAN, PETER B | Individual | – | FINOP | 12/2001 | < 5% |
| SCHWARTZ, HAROLD ALAN | Individual | – | CEO/PRINCIPAL | 10/2020 | 10-25% |
| OHMAN, JOHN DAVID | Individual | – | ROP/CROP | 10/2019 | < 5% |
| DESAI, JANAK R | Individual | – | DIRECTOR | 01/2020 | 10-25% |
| MISRA, SUNIL DUTT | Individual | – | DIRECTOR/PRINCIPAL | 01/2020 | 10-25% |
| DOUGLAS, KELVIN RAY | Individual | – | DIRECTOR | 01/2020 | 10-25% |
| PEDROSA-MENABRITO, ALBERTO | Individual | – | DIRECTOR | 01/2020 | 10-25% |
| NORTON, WILLIAM PATRICK JR | Individual | – | DIRECTOR | 01/2020 | 10-25% |
| BASKETT, ERIN ELAINE | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2022 | < 5% |