DHK FINANCIAL ADVISORS INC
Adviser information for DHK FINANCIAL ADVISORS INC last updated from Form ADV on March 21st, 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 | New Hampshire, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| 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 | 157 | $687.3M |
| Non-Discretionary | 33 | $826.8M |
| Total | 190 | $1.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 5 | $1.5M |
| HNW Individuals | 11 | $107.3M |
| 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 | <5 | $136.9M |
| Charitable organizations | 45 | $1.3B |
| 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 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-44524 |
|---|---|
| SEC ERA File Number | 801-44524 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 106126 |
| Legal Entity Identifier | None |
Principal Office
3 GREENLEAF WOODS DRIVESUITE 202
PORTSMOUTH
NH
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 603-436-5801, Fax: 603-431-3346
Chief Compliance Officer
TIMOTHY W. DEMPSEY
PRESIDENT AND DIRECTOR
3 GREENLEAF WOODS DRIVE
SUITE 202
PORTSMOUTH
NH
United States
Tel:
603-436-5801
Fax:
603-431-3346
T**@***************M
(Full email address available in API data)
Regulatory Contact
CYNTHIA FREEDMAN
DIRECTOR OF OPERATIONS
3 GREENLEAF WOODS DRIVE
SUITE 202
PORTSMOUTH
NH
United States
Tel:
(603) 436-5801
Fax:
(603) 431-3346
C******@***************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 |
|---|---|---|---|---|---|
| DEMPSEY, TIMOTHY, WILLIAM | Individual | – | PRESIDENT, DIRECTOR & CCO | 06/1993 | > 75% |
| FREEDMAN, CYNTHIA, R | Individual | – | DIRECTOR OF OPERATIONS | 09/2019 | < 5% |