DBD RETIREMENT AND FINANCIAL SERVICES
DBD RETIREMENT AND FINANCIAL SERVICES, LLC Legal Name
Adviser information for DBD RETIREMENT AND FINANCIAL SERVICES last updated from Form ADV on February 11th, 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 | Virginia, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| 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 | 35 | $130.2M |
| Non-Discretionary | 0 | $0 |
| Total | 35 | $130.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 13 | $3.3M |
| HNW Individuals | 5 | $126.9M |
| 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 businessesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-129039 |
|---|---|
| SEC ERA File Number | 801-129039 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 328239 |
| Legal Entity Identifier | None |
Principal Office
14731 KILHAVEN COURTMANASSAS
VA
United States
Monday - Friday, BY APPOINTMENT ONLY
Tel: 703-791-5955, Fax: 703-791-4091
Chief Compliance Officer
RAYMOND T. DI FILIPPO
PRESIDENT
14731 KILHAVEN COURT
MANASSAS
VA
United States
Tel:
703-791-5955
Fax:
703-791-4091
R**@***************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 |
|---|---|---|---|---|---|
| Difilippo, Raymond, T | Individual | – | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 08/2023 | 50-75% |
| DiFilippo, Denise | Individual | – | OWNER | 08/2023 | 50-75% |