DOBSON ASSET MANAGEMENT
DOBSON ASSET MANAGEMENT - NORTHERN CALIFORNIA Legal Name
Adviser information for DOBSON ASSET MANAGEMENT last updated from Form ADV on March 28th, 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 | Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 360 | $176.9M |
| Non-Discretionary | 14 | $1.0M |
| Total | 374 | $177.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 83 | $28.8M |
| HNW Individuals | 70 | $149.1M |
| 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 | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-51693 |
|---|---|
| SEC ERA File Number | 801-51693 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 112079 |
| Legal Entity Identifier | None |
Principal Office
7 FOURTH STREETSUITE 25
PETALUMA
CA
United States
Monday - Friday, 8:30AM - 4:30PM
Tel: 707-766-9254, Fax: 707-766-9354
Chief Compliance Officer
CHRISTOPHER M DOBSON
REGISTERED INVESTMENT ADVISOR/CHIEF COMPLIANCE OFFICER
7 4TH STREET
SUITE 25
PETALUMA
CA
United States
Tel:
(707)766-9254
Fax:
(707)766-9354
D*************@******M
(Full email address available in API data)
Regulatory Contact
MERILEE MAYSTROVICH
OWNER/ADMINISTRATOR
7 4TH STREET
SUITE 25
PETALUMA
CA
United States
Tel:
(707)766-9254
Fax:
(707)766-9354
D*************@******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 |
|---|---|---|---|---|---|
| DOBSON, CHRISTOPHER, MARTIN | Individual | – | OWNER/FINANCIAL ADVISOR/CHIEF COMPLIANCE OFFICER | 02/1994 | 25-50% |
| MAYSTROVICH, MERILEE | Individual | – | OWNER/ADMINSTRATOR | 09/1995 | 25-50% |
| DOBSON, SAMUEL RILEY | Domestic Entity | – | OWNER/REGISTERED ADVISOR REPRESENTATIVE | 04/2024 | 25-50% |