DIVERSIFIED FINANCIAL MANAGEMENT
DIVERSIFIED FINANCIAL MANAGEMENT ASSOCIATES, INC. Legal Name
Adviser information for DIVERSIFIED FINANCIAL MANAGEMENT last updated from Form ADV on March 15th, 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 | Massachusetts, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 350 | $169.4M |
| Non-Discretionary | 105 | $89.6M |
| Total | 455 | $259.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 73 | $36.1M |
| HNW Individuals | 53 | $212.2M |
| 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 | $10.7M |
| 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 | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-79902 |
|---|---|
| SEC ERA File Number | 801-79902 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 171813 |
| Legal Entity Identifier | None |
Principal Office
80 WASHINGTON STREETBUILDING E-13
NORWELL
MA
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 781-792-0440, Fax: 781-792-0606
Chief Compliance Officer
H. CALVIN PLACE, JR.
PRESIDENT
80 WASHINGTON STREET
BUILDING E-13
NORWELL
MA
United States
Tel:
781-792-0440
Fax:
781-792-0606
H**@************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 |
|---|---|---|---|---|---|
| PLACE, HENRY, CALVIN | Individual | – | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 05/2014 | > 75% |