DOMINARI SECURITIES LLC
Adviser information for DOMINARI SECURITIES 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 | Delaware, United States |
Employees
| Total Number of Employees | 11 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 11 |
| Registered State Investment Advisers | 0 |
| 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 | 124 | $26.8M |
| Non-Discretionary | 0 | $0 |
| Total | 124 | $26.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 81 | $1.8M |
| HNW Individuals | 43 | $25.0M |
| 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 | 0 | $0 |
| 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 | 1 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 8.2M |
| Portfolio Manager | 18.6M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| DOMINARI SECURITIES WRAP FEE PROGRAM | DOMINARI SECURITIES LLC |
Identifiers
| SEC RIA File Number | 801-78295 |
|---|---|
| SEC ERA File Number | 801-78295 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 18975 |
| Legal Entity Identifier | None |
Principal Office
725 FIFTH AVE., 23RD FL.NEW YORK
NY
United States
Monday - Friday, 9-5PM
Tel: 212-393-4500, Fax: 212-393-4550
Websites
Chief Compliance Officer
JAIME MERCADO
725 FIFTH AVE., 23RD FL.
NEW YORK
NY
United States
Tel:
212-393-4500
J*******@*********************M
(Full email address available in API data)
Regulatory Contact
ERIC NEWMAN
OPTIONS PRINCIPAL
725 FIFTH AVE., 23RD FL.
NEW YORK
NY
United States
Tel:
212-393-4500
E******@*********************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 |
|---|---|---|---|---|---|
| CAMPBELL, ROBERT | Individual | – | FINOP AND PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER | 03/2021 | < 5% |
| DOMINARI FINANCIAL, INC. | Domestic Entity | – | OWNER | 03/2023 | > 75% |
| DOMINARI HOLDINGS INC. | Domestic Entity | DOMINARI FINANCIAL INC. | SHAREHOLDER | 03/2023 | > 75% |
| WOOL, KYLE MICHAEL | Individual | – | CEO/ PRESIDENT | 05/2023 | < 5% |
| MERCADO, JAIME | Individual | – | CHIEF COMPLIANCE OFFICER, AMLCO | 02/2024 | < 5% |