DCA FAMILY OFFICE, LLC
Adviser information for DCA FAMILY OFFICE, LLC last updated from Form ADV on March 26th, 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 | 18 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| 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 | 0 | $0 |
| Non-Discretionary | 1 | $138.5M |
| Total | 1 | $138.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| 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 | <5 | $138.5M |
| 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 businesses or institutional clientsSelection of other advisers (including private fund managers)FAMILY OFFICE SERVICES |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-128127 |
|---|---|
| SEC ERA File Number | 801-128127 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 322047 |
| Legal Entity Identifier | 87-4080485 |
Principal Office
3721 DOUGLAS BLVDSUITE 350
ROSEVILLE
CA
United States
Monday - Friday, 8:00AM - 5:00PM
Tel: (916) 960-5357, Fax: None
Chief Compliance Officer
CASEY LAYTON
CHIEF FINANCIAL OFFICER
3721 DOUGLAS BLVD
SUITE 350
ROSEVILLE
CA
United States
Tel:
(916) 960-5357
Fax:
(916) 960-5360
C******@******************M
(Full email address available in API data)
Regulatory Contact
CURTIS MITCHELL ROCCA, III
MANAGING PARTNER
3721 DOUGLAS BLVD.
SUITE 350
ROSEVILLE
CA
United States
Tel:
(916) 960-5357
Fax:
(916) 960-5360
C*****@******************M
(Full email address available in API data)
Industry Affiliates
| DCA MANAGEMENT COMPANY, INC. | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MITCHELL, CRAIG, D. | Individual | – | MEMBER | 12/2021 | 5-10% |
| DCAROCCAS, LLC | Domestic Entity | – | MEMBER | 01/2022 | 10-25% |
| THE ROCCA FAMILY TRUST | Domestic Entity | – | MEMBER | 12/2021 | 25-50% |
| MILLS, STEVEN, R. | Individual | – | MEMBER | 12/2021 | 10-25% |
| MULDERRIG, KHOLT, T. | Individual | – | MEMBER | 12/2021 | 5-10% |
| LAYTON, CASEY, A. | Individual | – | CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, AND MEMBER | 12/2021 | 5-10% |
| ROCCA, JENNIFER | Individual | THE ROCCA FAMILY TRUST | TRUSTEE | 12/2021 | 50-75% |
| ROCCA, CURTIS, M. | Individual | THE ROCCA FAMILY TRUST | TRUSTEE | 12/2021 | 50-75% |
| ROCCA, CURTIS, M. | Individual | – | CEO | 12/2021 | < 5% |
| Bratkovich, Thomas, E. | Individual | – | CHIEF INVESTMENT OFFICER | 12/2023 | < 5% |
| THE ROCCA FAMILY TRUST | Domestic Entity | DCAROCCAS, LLC | TRUST | 01/2022 | > 75% |
| Stephenson, Christopher, Bruce | Individual | – | CHIEF OPERATIONS OFFICER | 12/2023 | < 5% |