Dhjj Financial Advisors, Ltd.
- Regulatory AUM
- $623M
- Discretionary
- $598M
- Clients
- 431
- Avg AUM / client
- $1.4M
- Accounts
- 1,413
- Employees
- 11
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jul 13, 2026
Investments (13F portfolio — 1,081 positions, $301,752,763)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Invesco Qqq Tr | UNIT SER 1 | $31,949,709 | 55,355 | 10.6% | 5.12% |
| 2 | Ishares Tr | CORE S&P MCP ETF | $19,458,796 | 288,150 | 6.45% | 3.12% |
| 3 | Schwab Strategic Tr | US DIVIDEND EQ | $11,538,291 | 376,085 | 3.82% | 1.85% |
| 4 | Schwab Strategic Tr | US LCAP GR ETF | $9,562,339 | 328,264 | 3.17% | 1.53% |
| 5 | J P Morgan Exchange Traded F | ULTRA SHRT ETF | $8,627,471 | 170,470 | 2.86% | 1.38% |
| 6 | Ishares Tr | RUSSELL 2000 ETF | $7,649,996 | 30,847 | 2.54% | 1.23% |
| 7 | Invesco Exchange Traded Fd T | S&P MDCP QUALITY | $7,460,532 | 72,173 | 2.47% | 1.2% |
| 8 | Vanguard Specialized Funds | DIV APP ETF | $6,806,196 | 31,648 | 2.26% | 1.09% |
| 9 | Ishares Tr | RUS 1000 GRW ETF | $6,464,907 | 15,162 | 2.14% | 1.04% |
| 10 | Schwab Strategic Tr | US MID-CAP ETF | $6,214,305 | 200,720 | 2.06% | 1.0% |
| 11 | State Str Spdr S&P 500 Etf T | TR UNIT | $4,652,437 | 7,154 | 1.54% | 0.75% |
| 12 | Dimensional Etf Trust | INTL CORE EQT MK | $4,161,392 | 106,812 | 1.38% | 0.67% |
| 13 | Schwab Strategic Tr | INTL EQTY ETF | $4,058,485 | 163,979 | 1.35% | 0.65% |
| 14 | Schwab Strategic Tr | US SML CAP ETF | $3,930,810 | 135,172 | 1.3% | 0.63% |
| 15 | First Tr Exchange Traded Fd | RISNG DIVD ACHIV | $3,905,498 | 57,198 | 1.29% | 0.63% |
| 16 | Apple Inc | COM | $3,875,224 | 15,269 | 1.28% | 0.62% |
| 17 | Innovator Etfs Trust | US EQTY BUFR JAN | $3,515,301 | 65,916 | 1.17% | 0.56% |
| 18 | First Tr Exchange Traded Fd | SHS | $3,496,499 | 74,346 | 1.16% | 0.56% |
| 19 | Invesco Exch Traded Fd Tr Ii | S&P SMLCAP QTY | $3,495,628 | 82,913 | 1.16% | 0.56% |
| 20 | Caterpillar Inc | COM | $3,229,437 | 4,558 | 1.07% | 0.52% |
| 21 | First Tr Exchng Traded Fd Vi | FT VEST US EQT | $3,145,221 | 58,904 | 1.04% | 0.5% |
| 22 | Proshares Tr | S&P 500 DV ARIST | $2,789,567 | 26,314 | 0.92% | 0.45% |
| 23 | Schwab Strategic Tr | US BRD MKT ETF | $2,774,781 | 110,549 | 0.92% | 0.45% |
| 24 | Invesco Exchange Traded Fd T | S&P500 EQL TEC | $2,483,476 | 54,871 | 0.82% | 0.4% |
| 25 | Wisdomtree Tr | US QTLY DIV GRT | $2,175,385 | 24,765 | 0.72% | 0.35% |
Top 25 of 1,081 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 183 | $42.5M | 6.82% |
| High net worth individuals | 216 | $544M | 87.2% |
| Pension and profit sharing plans | 32 | $34.1M | 5.46% |
| Corporations and other businesses | Fewer than 5 | $2.9M | 0.47% |
People (13)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Brooks, Edwin, James | Vice President | Sep 1997 (29y) | 10% – 25% | |
| Paul Anthony Minta | Treasurer | CFP | Nov 1997 (29y) | 10% – 25% |
| Terrence John Cicero | Vice President | CFP | Jul 2007 (19y) | 10% – 25% |
| Camilla Catherine Corso | Chief Compliance Officer | CFP | Nov 2011 (15y) | 10% – 25% |
| Katherine Theresa Byrne | Vice President | CFP | Jan 2016 (11y) | 10% – 25% |
| Mulligan, Kevin, Patrick | Vice President | Jul 2018 (8y) | 10% – 25% | |
| Shaw, Colin, Patrick | Vice President | Jul 2020 (6y) | 10% – 25% | |
| Kolzow, Patrick, W. | Chief Financial Officer | Jul 2021 (5y) | 10% – 25% | |
| Maquet, Rebecca | President | Jul 2021 (5y) | 10% – 25% | |
| Ochenkowski, Richard, Edmund | Vice President | Jul 2021 (5y) | 10% – 25% | |
| Suzanne Marie Lockwoodfisher | Registered representative | Jul 2021 (5y) | ||
| Dana Michael Anderson | Registered representative | CFP | Jul 2025 (1y) | |
| Katelyn Wright | Registered representative | CFP | Aug 2025 (1y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/13/2026 | 1.01 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $602M (97% of AUM) Jul 2026
- Ascensus Trust Company $11.7M (3% of AUM) Aug 2023
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 13, 2026.
View current Form ADV (SEC/IAPD) ↗