DMLO WEALTH PLANNING, LLC
Adviser information for DMLO WEALTH PLANNING, LLC last updated from Form ADV on March 5th, 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 | Kentucky, United States |
Employees
| Total Number of Employees | 12 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 60 | $14.2M |
| Non-Discretionary | 0 | $0 |
| Total | 60 | $14.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 16 | $4.9M |
| HNW Individuals | 4 | $9.4M |
| 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 | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-128291 |
|---|---|
| SEC ERA File Number | 801-128291 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 316202 |
| Legal Entity Identifier | None |
Principal Office
2020 HIGH WICKHAM PLACESUITE 200
LOUISVILLE
KY
United States
Monday - Friday, 9:00AM TO 5:00PM
Tel: (502) 813-2100, Fax: None
Websites
Chief Compliance Officer
STEPHEN R. GIBSON
DIRECTOR AND FINANCIAL PLANNER
2020 HIGH WICKHAM PLACE
SUITE 200
LOUISVILLE
KY
United States
Tel:
(502) 813-2100
S******@*********************M
(Full email address available in API data)
Industry Affiliates
| CHRISTOPHER WARD | Accountant or accounting firm |
| DMLO CPAS | Accountant or accounting firm |
| DYNAMIC MARKET ADVANTAGE, LLC | Other investment adviser, including financial planners |
| GUIDANCE CAPITAL, INC. | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DEMING, MALONE, LIVESAY & OSTROFF, P.S.C. (DBA "DMLO CPAS") | Domestic Entity | – | MEMBER | 07/2021 | 50-75% |
| Ward, Christopher, A | Individual | – | DIRECTOR | 07/2021 | < 5% |
| GUIDANCE CONSULTING, LLC | Domestic Entity | – | MEMBER | 02/2023 | 50-75% |
| HANDY, BEAU, JUSTIN | Individual | – | DIRECTOR AND FINANCIAL ADVISOR | 02/2023 | < 5% |
| HANDY, BEAU, JUSTIN | Individual | GUIDANCE CONSULTING, LLC | MANAGING MEMBER | 10/2022 | 50-75% |
| GIBSON, STEPHEN, RANDALL | Individual | GUIDANCE CONSULTING, LLC | MANAGING MEMBER | 10/2022 | 50-75% |
| GIBSON, STEPHEN, RANDALL | Individual | – | DIRECTOR AND FINANCIAL ADVISOR / CHIEF COMPLIANCE OFFICER | 02/2023 | < 5% |