DM
Dorfman, Mikhail
State-registered
Wealth Manager · Boutique (under $100M)
CRD 113751
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ADV data as of Aug 01, 2023
- Regulatory AUM
- $1.4M
- Discretionary
- $1.4M
- Clients
- 5
- Avg AUM / client
- $271K
- Accounts
- 5
- Employees
- 1
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 5 | $1.4M | 100.0% |
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 08/01/2023 | 1.16 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
Services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Interactive Brokers $1.4M (103% of AUM) Aug 2023
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: Aug 01, 2023.
View current Form ADV (SEC/IAPD) ↗