DEAN FINANCIAL SERVICES
DEAN FINANCIAL SERVICES, LLC Legal Name
Adviser information for DEAN FINANCIAL SERVICES 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Ohio, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 462 | $266.8M |
| Non-Discretionary | 0 | $0 |
| Total | 462 | $266.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 210 | $104.7M |
| HNW Individuals | 10 | $43.0M |
| 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 | 31 | $101.0M |
| Charitable organizations | <5 | $2.9M |
| 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 | $15.1M |
| 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) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Accountant or accounting firm |
Identifiers
| SEC RIA File Number | 801-62586 |
|---|---|
| SEC ERA File Number | 801-62586 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 129679 |
| Legal Entity Identifier | None |
Principal Office
3500 PENTAGON BOULEVARD, SUITE 200BEAVERCREEK
OH
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 937-222-9531, Fax: 937-227-9315
Chief Compliance Officer
DEBRA E. RINDLER
SECRETARY, TREASURER, CFO, CCO
3500 PENTAGON BLVD, SUITE 200
BEAVERCREEK
OH
United States
Tel:
937-225-3406
Fax:
937-227-9315
D**@*********M
(Full email address available in API data)
Regulatory Contact
LISA A. GROSS
CORPORATE ACCOUNTING MANAGER
3500 PENTAGON BLVD, SUITE 200
BEAVERCREEK
OH
United States
Tel:
937-225-3434
Fax:
937-227-9305
L**@*********M
(Full email address available in API data)
Industry Affiliates
| DEAN CAPITAL MANAGEMENT | Other investment adviser, including financial planners |
| DEAN INVESTMENTS | 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 |
|---|---|---|---|---|---|
| C.H. DEAN, LLC (F/K/A C.H. DEAN, INC.) | Domestic Entity | – | LLC MEMEBER | 12/2012 | > 75% |
| MILLER, STEPHEN, MICHAEL | Individual | – | CEO, PRESIDENT | 11/2003 | < 5% |
| RINDLER, DEBRA, ELIZABETH | Individual | – | SECRETARY/TREASURER/CHIEF COMPLIANCE OFFICER/CHIEF FINANCIAL OFFICER | 10/2005 | < 5% |
| THE C.H. DEAN COMPANIES, LLC | Domestic Entity | C.H. DEAN, LLC | LLC MEMBER | 12/2012 | > 75% |
| MILLER, STEPHEN, MICHAEL | Individual | THE C.H. DEAN COMPANIES, LLC | ELECTED MANAGER, PRESIDENT | 03/2017 | |
| MILLER, PAMALA, JANE | Individual | – | VICE PRESIDENT, CHIEF OPERATING OFFICER | 02/2016 | < 5% |
| TERENCE M. DEAN TRUST DATED 2/24/2016 | Domestic Entity | THE C.H. DEAN COMPANIES, LLC | LLC MEMBER | 03/2016 | 25-50% |
| DENNIS D. DEAN TRUST DATED 7/25/2023 | Domestic Entity | THE C.H. DEAN COMPANIES, LLC | LLC MEMBER | 03/2016 | 25-50% |
| MILLER, STEPHEN, MICHAEL | Individual | TERENCE M. DEAN TRUST DATED 2/24/2016 | TRUSTEE | 10/2023 | |
| MILLER, STEPHEN, MICHAEL | Individual | DENNIS D. DEAN TRUST DATED 7/25/2023 | TRUSTEE | 10/2023 | |
| RINDLER, DEBRA, ELIZABETH | Individual | THE C.H. DEAN COMPANIES, LLC | ELECTED MANAGER | 12/2023 | |
| MILLER, PAMALA, JANE | Individual | THE C.H. DEAN COMPANIES, LLC | ELECTED MANAGER | 12/2023 |