Dividend Assets Capital, Llc
- Regulatory AUM
- $541M
- Discretionary
- $541M
- Clients
- 401
- Avg AUM / client
- $1.3M
- Accounts
- 595
- Employees
- 7
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Sep 15, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 333 | $194M | 35.8% |
| High net worth individuals | 49 | $274M | 50.7% |
| Investment companies | 1 | $11.9M | 2.2% |
| Pension and profit sharing plans | 2 | $1.4M | 0.26% |
| Charitable organizations | 3 | $14.1M | 2.61% |
| Corporations and other businesses | 13 | $45.6M | 8.44% |
People (10)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Swhear, John, Carl | Chief Compliance Officer | Jul 2020 (6y) | Less than 5% | |
| James Glenn Haley | Ceo & Director Of Client Private Group | CFP | Aug 2023 (3y) | Less than 5% |
| Shaver, Charles, Troy | Chairman Emeritus | Aug 2023 (3y) | Less than 5% | |
| William Donald Ford | President & Director Of Institutional Asset Management | CFP | Aug 2023 (3y) | Less than 5% |
| Robert John Dickson | Chief Financial Officer | Jan 2024 (3y) | Less than 5% | |
| Alex Charles Meintel | Registered representative | Jan 2025 (2y) | ||
| Emily Cales Harding | Registered representative | Jan 2025 (2y) | ||
| Donald Joseph Hingtgen | Registered representative | Feb 2025 (2y) | ||
| Joseph John Kilian | Registered representative | Dec 2025 (1y) | ||
| Marc David Saurborn | Registered representative | CFA | Jan 2026 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Dividend Assets Capital Holdings, Inc. Employee Stock Ownership Plan | Employee Stock Ownership Plan | Oct 2014 | A | 75% or more |
| Greatbanc Trust Company | Trustee | Oct 2021 | A | 75% or more |
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) | 03/30/2026 | 980 KB | 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
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for businesses/institutional clients
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $506M (94% of AUM) Jul 2026
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: Sep 15, 2026.
View current Form ADV (SEC/IAPD) ↗