Investment adviser · CRD 123922
DICE FINANCIAL INVESTMENT ADVISORY
Investment adviser filing (IA)
DICE, THOMAS JOEL
MITCHELL, SD, United States · Form ADV filed Aug 28, 2019
- Regulatory AUM
- $129M Form ADV · Item 5.F
- Client accounts
- 95 Accounts, not individual clients
- Employees
- 4 Reported in this filing
- Advisory professionals
- 4 Investment advisory functions
Who they report serving
Form ADV · Item 5.DClient types and their share of reported regulatory assets.
| Client type | Clients | Regulatory assets | Share of AUM |
|---|---|---|---|
| Retirement plans | 8 | $83,931,178 | 65.3% |
| High-net-worth individuals | 19 | $31,213,694 | 24.3% |
| Individuals | 36 | $13,449,258 | 10.5% |
Filing source
Form ADV 1342503 · Aug 28, 2019 · Item 5.D
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
Private funds & service providers
0 Private fundsThe count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.
This filing answers No to private funds.
Services & filing details
Most recent filing: Aug 28, 2019. View historical filings
Reported services
Individual portfolio management · Business portfolio management · Pension consulting
Compensation
Percentage of assets · Hourly · Fixed · Commissions
Principal office
1716 N SANBORN BLVD.MITCHELL, SD, 57301, United States
CRD 123922
Filing source
Form ADV 1342503 · Aug 28, 2019 · Items 1 & 5
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.