DMKC ADVISORY SERVICES, LLC
Adviser information for DMKC ADVISORY SERVICES, LLC last updated from Form ADV on March 27th, 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 | Iowa, United States |
Employees
| Total Number of Employees | 14 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 14 |
| Registered State Investment Advisers | 11 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 738 | $475.3M |
| Non-Discretionary | 10 | $87.2M |
| Total | 748 | $562.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 193 | $50.0M |
| HNW Individuals | 233 | $275.4M |
| 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 | $4.5M |
| Charitable organizations | 20 | $212.4M |
| 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 | $20.2M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-68395 |
|---|---|
| SEC ERA File Number | 801-68395 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 145112 |
| Legal Entity Identifier | None |
Principal Office
3900 INGERSOLL AVENUESUITE 300
DES MOINES
IA
United States
Monday - Friday, 8:00 A.M. - 5:00 P.M.
Tel: 515-221-1133, Fax: 515-221-1031
Chief Compliance Officer
KATHLEEN C HALLIWELL
3900 INGERSOLL AVENUE
SUITE 300
DES MOINES
IA
United States
Tel:
515-221-1133
Fax:
515-221-1031
K*********@*******M
(Full email address available in API data)
Regulatory Contact
GARY CLAYTON
COMPLIANCE CONSULTANT
PO BOX 10254
KNOXVILLE
TN
United States
Tel:
865-770-1024
S******@*************M
(Full email address available in API data)
Industry Affiliates
| D.M. KELLY & COMPANY | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| D. M. KELLY & COMPANY | Domestic Entity | – | OWNER | 08/2007 | > 75% |
| DANIEL M. KELLY 2004 TRUST | Domestic Entity | D.M. KELLY & COMPANY | DIRECT OWNER | 10/2006 | > 75% |
| KELLY, PATRICK, BENJAMIN | Individual | DANIEL M. KELLY 2004 TRUST | TRUSTEE | 12/2018 | |
| HALLIWELL, KATHLEEN, CRICHTON | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2020 | < 5% |
| KELLY, DANIEL, MICHAEL | Individual | – | PRESIDENT AND MANAGING MEMBER | 03/2020 | < 5% |