DSS WEALTH MANAGEMENT, INC.
Adviser information for DSS WEALTH MANAGEMENT, INC. last updated from Form ADV on March 29th, 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 | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 1 |
| 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 | 1 | $29.0M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $29.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $29.0M |
| 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 | 1 |
| 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 | 801-121671 |
|---|---|
| SEC ERA File Number | 801-121671 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 314640 |
| Legal Entity Identifier | None |
Principal Office
275 WIREGRASS PARKWAYWEST HENRIETTA
NY
United States
Monday - Friday, 8 AM TO 6 PM
Tel: 916 865-9070, Fax: None
Websites
Chief Compliance Officer
JIM MONAGHAN
CHIEF OPERATIONS OFFICER
30 OLD KINGS HIGHWAY SOUTH
DARIEN
CT
United States
Tel:
646-396-1023
J********@************M
(Full email address available in API data)
Regulatory Contact
STEVE SOLANO
REGULATORY COMPLIANCE CONSULTANT
23824 SANCTUARY LAKES COURT
BONITA SPRINGS
FL
United States
Tel:
516-286-6888
S******@**********T
(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 |
|---|---|---|---|---|---|
| Heuszel, Frank, D | Individual | – | CEO | 05/2021 | < 5% |
| GRADY, JASON, T | Individual | – | CHIEF OPERATING OFFICER | 05/2021 | < 5% |
| Macko, Todd, D | Individual | – | CHIEF FINANCIAL OFFICER | 05/2021 | < 5% |
| TRAPP, ROBERT, HERMAN | Individual | – | VICE PRESIDENT | 05/2021 | < 5% |
| DSS SECURITIES INC. | Domestic Entity | – | PARENT COMPANY | 04/2021 | > 75% |
| DSS, INC. | Domestic Entity | DSS SECURITIES INC. | PARENT COMPANY | 04/2021 | > 75% |
| LEW, DANIEL | Individual | – | CHIEF INVESTMENT OFFICER & PORTFOLIO MANAGER | 05/2023 | < 5% |
| MONAGHAN, JAMES, PAUL | Individual | – | CHIEF COMPLIANCE OFFICER & CHIEF OPERATING OFFICER | 08/2023 | < 5% |