DORMAN FINANCIAL MANAGEMENT, P.A.
Adviser information for DORMAN FINANCIAL MANAGEMENT, P.A. last updated from Form ADV on March 14th, 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 | Florida, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| 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 | 785 | $143.7M |
| Non-Discretionary | 2 | $1.4M |
| Total | 787 | $145.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 254 | $59.7M |
| HNW Individuals | 53 | $82.7M |
| 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 | 8 | $2.7M |
| 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 | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesADVISORY CONSULTING |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-66938 |
|---|---|
| SEC ERA File Number | 801-66938 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 136881 |
| Legal Entity Identifier | None |
Principal Office
557 N. WYMORE ROADSUITE 201
MAITLAND
FL
United States
MONDAY - THURSDAY, 8:30 A.M. - 5:00 P.M.
Tel: 407-774-6815, Fax: 407-645-1484
Chief Compliance Officer
JAMES B. DORMAN, JR.
PRESIDENT/CCO
557 N. WYMORE ROAD
SUITE 201
MAITLAND
FL
United States
Tel:
407-774-6815
Fax:
407-645-1484
J********@******************M
(Full email address available in API data)
Regulatory Contact
CHELSEA ARB
ASSOCIATE WEALTH ADVISOR
557 N. WYMORE ROAD
SUITE 201
MAITLAND
FL
United States
Tel:
407-774-6815
Fax:
407-645-1484
C***@******************M
(Full email address available in API data)
Industry Affiliates
| JAMES B. DORMAN, CPA | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DORMAN, JAMES, BROOKS | Individual | – | PRESIDENT/CCO | 01/2002 | > 75% |