Diversified Financial Management Associates, Inc.
- Regulatory AUM
- $339M
- Discretionary
- $242M
- Clients
- 144
- Avg AUM / client
- $2.4M
- Accounts
- 478
- Employees
- 5
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 13, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 74 | $34.1M | 10.1% |
| High net worth individuals | 65 | $290M | 85.7% |
| Pension and profit sharing plans | 5 | $14.3M | 4.23% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Henry Calvin Place | President And Chief Compliance Officer | CFA | May 2014 (12y) | 75% or more |
| Mark Joseph Everett | Registered representative | Sep 2015 (11y) | ||
| Adam Keith Dworkin | Registered representative | Jun 2020 (6y) | ||
| Bradford Cadigan | Registered representative | CFA | Mar 2025 (1y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
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) | 03/13/2026 | 950 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
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Fidelity Brokerage Services $269M (79% of AUM) Mar 2026
- National Financial Services (Fidelity) $132M (84% of AUM) Oct 2018
- Charles Schwab & Co. $57.4M (17% of AUM) Mar 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: Mar 13, 2026.
View current Form ADV (SEC/IAPD) ↗