DIVERSIFIED FINANCIAL ADVISORS, LLC
Adviser information for DIVERSIFIED FINANCIAL ADVISORS, LLC last updated from Form ADV on March 30th, 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 | Missouri, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 4 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 862 | $445.1M |
| Non-Discretionary | 3 | $6.1M |
| Total | 865 | $451.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 441 | $88.8M |
| HNW Individuals | 30 | $52.7M |
| 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 | 132 | $309.7M |
| 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 | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly charges |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-70541 |
|---|---|
| SEC ERA File Number | 801-70541 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 118261 |
| Legal Entity Identifier | 45-1575390 |
Principal Office
14323 SOUTH OUTER FORTY DRIVESUITE 210 SOUTH
TOWN AND COUNTRY
MO
United States
Monday - Friday, 9-5 MON-THURS, 9-4:30 FRIDAYS
Tel: 800-307-0376, Fax: 314-786-9001
Chief Compliance Officer
CYNTHIA D. MOYNIHAN
FINANCIAL ADVISOR
14323 SOUTH OUTER FORTY DRIVE
SUITE 210 SOUTH
TOWN AND COUNTRY
MO
United States
Tel:
800-307-0376
Fax:
314-786-9001
C****@****************M
(Full email address available in API data)
Regulatory Contact
JOHN MOYNIHAN
PRESIDENT, OWNER
14323 S. OUTER 40 DRIVE
ST. LOUIS
MO
United States
Tel:
800-307-0376
Fax:
314-786-9001
J***@****************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 |
|---|---|---|---|---|---|
| MOYNIHAN, JOHN, JOSEPH | Individual | – | PRESIDENT, OWNER | 01/1987 | > 75% |
| MOYNIHAN, CYNTHIA, DIANE | Individual | – | CHIEF COMPLIANCE OFFICER | 04/1994 | < 5% |