D & G ADVISORY GROUP, L.L.C.
Adviser information for D & G ADVISORY GROUP, L.L.C. last updated from Form ADV on March 12th, 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 | 3 |
---|---|
Investment Advisory/Research | 2 |
Registered Broker-Dealer Representatives | 0 |
Registered State Investment Advisers | 2 |
Licensed Agents of an Insurance Company | 1 |
No. of Firms/People that Solicit Clients | 0 |
RAUM
Provides Management of Securities Portfolios | Yes |
---|
Type | Accounts | RAUM |
---|---|---|
Discretionary | 521 | $131.2M |
Non-Discretionary | 24 | $591,288 |
Total | 545 | $131.8M |
Clients
Type | Number | RAUM |
---|---|---|
Individuals | 232 | $28.0M |
HNW Individuals | 69 | $103.8M |
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 businessesPortfolio management for businesses or institutional clientsPension consulting services |
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Compensation | % of AUMHourly chargesCommissions |
Other Business Activities | Insurance broker or agent |
Identifiers
SEC RIA File Number | 801-121996 |
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SEC ERA File Number | 801-121996 |
SEC CIK Numbers | None |
SEC CRD Numbers | 125055 |
Legal Entity Identifier | None |
Principal Office
N6682 SOUTH HARBOR LANEMENOMINEE
MI
United States
Monday - Friday, 9:00AM TO 5:00PM EST
Tel: 906-863-8069, Fax: 906-863-8080
Websites
Chief Compliance Officer
DAVID JONES
CHIEF COMPLIANCE OFFICER
N6682 SOUTH HARBOR LANE
MENOMINEE
MI
United States
Tel:
906-863-8069
Fax:
906-863-8080
D****@*************M
(Full email address available in API data)
Regulatory Contact
GAIL JONES
VICE PRESIDENT
N6682 SOUTH HARBOR LANE
MENOMINEE
MI
United States
Tel:
906-863-8069
Fax:
906-863-8080
A****@*************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 |
---|---|---|---|---|---|
JONES, DAVID, MICHAEL | Individual | – | CEO, CCO | 08/1998 | > 75% |
JONES, GAIL, A | Individual | – | VICE PRESIDENT | 01/2002 | 10-25% |