Hedge Fund Database

DIVIDEND ASSETS CAPITAL, LLC

Adviser information for DIVIDEND ASSETS CAPITAL, LLC 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 South Carolina, United States

Employees

Total Number of Employees 9
Investment Advisory/Research 5
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 742 $565.9M
Non-Discretionary 3 $337,022
Total 745 $566.2M

Clients

Type Number RAUM
Individuals 352 $281.7M
HNW Individuals 23 $193.2M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 1 $11.7M
Pension and profit sharing plans 33 $26.4M
Charitable organizations 9 $14.7M
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 17 $38.6M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 1
No. of Financial Planning Clients 11-25

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsEducational seminars/workshops
Compensation % of AUM

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 64.2M
Both for Same 0
Portfolio Manager to Program Sponsor
TCA FINANCIAL'S WRAP FEE PROGRAM PROSPERA FINANCIAL SERVICES, INC.
MID-ATLANTIC CAPITAL GROUP WRAP FEE PROGRAM NEWEDGE SECURITIES, INC.
DMA / MASTERS PROGRAMS WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
CETERA ADVISOR WRAP FEE PROGRAM CETERA ADVISORS LLC
AMERICAN PORTFOLIOS WRAP FEE PROGRAM AMERICAN PORTFOLIOS ADVISORS, INC
RBC MANAGED ACCOUNT PROGRAM RBC WEALTH MANAGEMENT
RAYMOND JAMES OUTSIDE MANAGER PROGRAM RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
JANNEY MONTGOMERY SCOTT'S WRAP FEE PROGRAM JANNEY MONTGOMERY SCOTT LLC

Identifiers

SEC RIA File Number 801-62643
SEC ERA File Number 801-62643
SEC CIK Numbers 1365167
SEC CRD Numbers 129973
Legal Entity Identifier None

Principal Office

58 RIVERWALK BLVD.
RIDGELAND
SC
United States
Monday - Friday, 8:30 AM - 4:30PM
Tel: 843.645.9700, Fax: 843.645.9701

Websites

www.linkedin.com/company/dividendassetscapital www.dacapitalsc.com dacapitalsc.com

Chief Compliance Officer

JOHN SWHEAR
7268 ROOSES DRIVE
INDIANAPOLIS
IN
United States
Tel: 317.833.7859
(Full email address available in API data)

Regulatory Contact

JAMES HALEY
CEO
58 RIVERWALK BLVD
RIDGELAND
SC
United States
Tel: 843.645.6703
Fax: 843.645.9701
(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
SHAVER, CHARLES, TROY Individual – CHAIRMAN EMERITUS 08/2023 < 5%
DIVIDEND ASSETS CAPITAL HOLDINGS, INC. EMPLOYEE STOCK OWNERSHIP PLAN Domestic Entity – EMPLOYEE STOCK OWNERSHIP PLAN 10/2014 > 75%
SWHEAR, JOHN, CARL Individual – CHIEF COMPLIANCE OFFICER 07/2020 < 5%
GREATBANC TRUST COMPANY Domestic Entity – TRUSTEE 10/2021 > 75%
HALEY, JAMES, GLENN Individual – CEO & DIRECTOR OF CLIENT PRIVATE GROUP 08/2023 < 5%
FORD, WILLIAM, DONALD Individual – PRESIDENT & DIRECTOR OF INSTITUTIONAL ASSET MANAGEMENT 08/2023 < 5%
Dickson, Robert, John Individual – CHIEF FINANCIAL OFFICER 01/2024 < 5%

No. Employees, Historic

20100201920202021202220232024202513 on 5/31/201914 on 3/30/202014 on 5/18/202014 on 6/18/202014 on 7/1/202014 on 7/16/202014 on 12/15/202012 on 2/19/202112 on 1/28/202212 on 3/31/202212 on 10/13/202211 on 3/31/202311 on 1/23/20249 on 3/28/2024

RAUM, Historic

800M400M02019202020212022202320242025717528882 on 5/31/2019747584227 on 3/30/2020747584227 on 5/18/2020747584227 on 6/18/2020747584227 on 7/1/2020747584227 on 7/16/2020747584227 on 12/15/2020574458411 on 2/19/2021574458411 on 1/28/2022585424085 on 3/31/2022585424085 on 10/13/2022527024008 on 3/31/2023527024008 on 1/23/2024566240855 on 3/28/2024

No. Clients, Historic

70035002019202020212022202320242025618 on 5/31/2019566 on 3/30/2020566 on 5/18/2020566 on 6/18/2020566 on 7/1/2020566 on 7/16/2020566 on 12/15/2020499 on 2/19/2021499 on 1/28/2022451 on 3/31/2022451 on 10/13/2022443 on 3/31/2023443 on 1/23/2024435 on 3/28/2024

Holdings

From latest 13F, filed August 2nd, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
MICROSOFT CORP COM 34M 77K –
NOVO-NORDISK A S ADR 29M 206K –
COSTCO WHSL CORP NEW COM 27M 31K –
ONEOK INC NEW COM 17M 205K –
VISA INC COM CL A 15M 59K –
AMERIPRISE FINL INC COM 15M 35K –
QUALCOMM INC COM 15M 76K –
ENERGY TRANSFER L P COM UT LTD PTN 14M 857K –
ENTERPRISE PRODS PARTNERS L COM 13M 459K –
SAP SE SPON ADR 12M 59K –
TEXAS INSTRS INC COM 11M 59K –
NEXTERA ENERGY INC COM 11M 159K –
UNITEDHEALTH GROUP INC COM 11M 22K –
JPMORGAN CHASE & CO. COM 11M 54K –
CANADIAN NAT RES LTD COM 11M 307K –
L3HARRIS TECHNOLOGIES INC COM 10M 44K –
AMGEN INC COM 9M 30K –
STRYKER CORPORATION COM 9M 27K –
NIKE INC CL B 9M 116K –
SHERWIN WILLIAMS CO COM 9M 29K –
ASSURANT INC COM 9M 52K –
LOWES COS INC COM 8M 37K –
UNION PAC CORP COM 8M 36K –
AMERICAN TOWER CORP NEW COM 8M 41K –
WILLIAMS SONOMA INC COM 7M 23K –
ENBRIDGE INC COM 6M 180K –
AUTOMATIC DATA PROCESSING IN COM 6M 25K –
HEICO CORP NEW COM 6M 26K –
AMDOCS LTD SHS 5M 69K –
ZOETIS INC CL A 5M 31K –
TJX COS INC NEW COM 5M 48K –
WILLIAMS COS INC COM 5M 122K –
CINTAS CORP COM 5M 7K –
CHURCH & DWIGHT CO INC COM 5M 45K –
APPLE INC COM 4M 21K –
ROPER TECHNOLOGIES INC COM 4M 7K –
INTUIT COM 4M 6K –
WALMART INC COM 3M 49K –
MCDONALDS CORP COM 3M 13K –
LOCKHEED MARTIN CORP COM 3M 7K –
MPLX LP COM UNIT REP LTD 3M 66K –
CASEYS GEN STORES INC COM 3M 7K –
ORACLE CORP COM 3M 19K –
STERIS PLC SHS USD 3M 12K –
EXXON MOBIL CORP COM 3M 22K –
WD 40 CO COM 3M 11K –
WESTERN MIDSTREAM PARTNERS L COM UNIT LP INT 2M 60K –
ECOLAB INC COM 2M 10K –
HEICO CORP NEW CL A 2M 12K –
CANADIAN NATL RY CO COM 2M 18K –
CHUBB LIMITED COM 2M 8K –
PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 2M 105K –
ALPHABET INC CAP STK CL A 2M 10K –
PEPSICO INC COM 2M 11K –
JOHNSON & JOHNSON COM 2M 12K –
SUNOCO LP/SUNOCO FIN CORP COM UT REP LP 2M 29K –
ELI LILLY & CO COM 2M 2K –
RTX CORPORATION COM 2M 15K –
SNAP ON INC COM 2M 6K –
ROSS STORES INC COM 2M 10K –
PROCTER AND GAMBLE CO COM 1M 9K –
BALL CORP COM 1M 24K –
PPG INDS INC COM 1M 10K –
CHEVRON CORP NEW COM 1M 8K –
EOG RES INC COM 1M 10K –
TARGA RES CORP COM 1M 10K –
CHENIERE ENERGY PARTNERS LP COM UNIT 1M 23K –
INTERNATIONAL BUSINESS MACHS COM 1M 6K –
USA COMPRESSION PARTNERS LP COMUNIT LTDPAR 1M 46K –
NVIDIA CORPORATION COM 1M 9K –
AMAZON COM INC COM 1M 6K –
TRUIST FINL CORP COM 1M 27K –
ENLINK MIDSTREAM LLC COM UNIT REP LTD 1M 73K –
ILLINOIS TOOL WKS INC COM 985K 4K –
MERCK & CO INC COM 965K 8K –
HESS MIDSTREAM LP CL A SHS 963K 26K –
BOEING CO COM 935K 5K –
ANALOG DEVICES INC COM 932K 4K –
TELEFLEX INCORPORATED COM 812K 4K –
GENERAL MLS INC COM 810K 13K –
MEDTRONIC PLC SHS 789K 10K –
MASTERCARD INCORPORATED CL A 751K 2K –
ANTERO MIDSTREAM CORP COM 749K 51K –
AFLAC INC COM 711K 8K –
HORMEL FOODS CORP COM 690K 23K –
LINDE PLC SHS 651K 1K –
HOME DEPOT INC COM 642K 2K –
HDFC BANK LTD SPONSORED ADS 618K 10K –
BLACKROCK INC COM 614K 780 –
DHT HOLDINGS INC SHS NEW 605K 52K –
BROADRIDGE FINL SOLUTIONS IN COM 600K 3K –
COCA COLA CO COM 591K 9K –
APOLLO GLOBAL MGMT INC COM 574K 5K –
FACTSET RESH SYS INC COM 527K 1K –
S&P GLOBAL INC COM 512K 1K –
META PLATFORMS INC CL A 491K 974 –
PUBLIC SVC ENTERPRISE GRP IN COM 473K 6K –
BECTON DICKINSON & CO COM 469K 2K –
HANOVER INS GROUP INC COM 460K 4K –
ISHARES TR NATIONAL MUN ETF 455K 4K –
UNITED PARCEL SERVICE INC CL B 454K 3K –
ALPHABET INC CAP STK CL C 444K 2K –
EQUITRANS MIDSTREAM CORP COM 438K 34K –
EQUITY LIFESTYLE PPTYS INC COM 431K 7K –
ALPS ETF TR ALERIAN MLP 414K 9K –
CISCO SYS INC COM 413K 9K –
PARKER-HANNIFIN CORP COM 412K 814 –
BERKSHIRE HATHAWAY INC DEL CL B NEW 409K 1K –
PHILLIPS 66 COM 405K 3K –
VANGUARD INDEX FDS LARGE CAP ETF 377K 2K –
ABBVIE INC COM 361K 2K –
WASTE MGMT INC DEL COM 344K 2K –
VANGUARD SPECIALIZED FUNDS DIV APP ETF 341K 2K –
3M CO COM 330K 3K –
GENESIS ENERGY L P UNIT LTD PARTN 323K 23K –
VANGUARD INDEX FDS GROWTH ETF 322K 860 –
WELLTOWER INC COM 313K 3K –
PFIZER INC COM 309K 11K –
SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 306K 571 –
SPDR S&P 500 ETF TR TR UNIT 304K 559 –
CONOCOPHILLIPS COM 300K 3K –
INTUITIVE SURGICAL INC COM NEW 297K 668 –
PHILIP MORRIS INTL INC COM 296K 3K –
BROADCOM INC COM 276K 172 –
STANDEX INTL CORP COM 270K 2K –
SCHWAB STRATEGIC TR SHT TM US TRES 265K 6K –
DOMINION ENERGY INC COM 261K 5K –
WP CAREY INC COM 248K 5K –
CINCINNATI FINL CORP COM 223K 2K –
DELEK LOGISTICS PARTNERS LP COM UNT RP INT 218K 5K –
KLA CORP COM NEW 206K 250 –
ISHARES TR CORE S&P500 ETF 201K 368 –
VERIZON COMMUNICATIONS INC COM 201K 5K –