{"url":"https://nivawealth.com/firms/dakota-wealth-297987","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/297987","regulatoryAum":6941956964,"crd":"297987","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6180894","suffix":null,"lastName":"AUGUSTIN","firstName":"PETER","middleName":"NICKEL"},{"crd":"7882960","suffix":null,"lastName":"Azar","firstName":"Autumn","middleName":"Marie"},{"crd":"3229769","suffix":null,"lastName":"BARTELL","firstName":"GINA","middleName":"KOSHIOL"},{"crd":"5569377","suffix":null,"lastName":"BAXTER","firstName":"LUKE","middleName":"S"},{"crd":"7198026","suffix":null,"lastName":"Bimonte","firstName":"Jessica","middleName":"Renee"},{"crd":"2989333","suffix":null,"lastName":"BRATVOLD","firstName":"ERIC","middleName":"ANDREW"},{"crd":"7881374","suffix":null,"lastName":"Caekaert","firstName":"Eli","middleName":null},{"crd":"4696049","suffix":null,"lastName":"COSENTINO","firstName":"MARY","middleName":"ELIZABETH"},{"crd":"2633781","suffix":null,"lastName":"CROSSMAN","firstName":"JOSHUA","middleName":"THOMAS"},{"crd":"4335451","suffix":null,"lastName":"CUNNINGHAM","firstName":"BRIDGET","middleName":"ANN"},{"crd":"2782757","suffix":null,"lastName":"DELLA VALLE","firstName":"LOUIS","middleName":"ANTHONY"},{"crd":"7497525","suffix":null,"lastName":"Dunbar","firstName":"Stephanie","middleName":"A"},{"crd":"4207020","suffix":null,"lastName":"DURRWACHTER","firstName":"KURT","middleName":"Stephen"},{"crd":"5562122","suffix":null,"lastName":"ELSCHEID","firstName":"JESSICA","middleName":"LORRAINE"},{"crd":"4825363","suffix":null,"lastName":"ENDERLEIN","firstName":"AMY","middleName":"LYN"},{"crd":"8230943","suffix":null,"lastName":"Fahnestock","firstName":"Madelyn","middleName":null},{"crd":"2500780","suffix":"SR","lastName":"GOYETTE","firstName":"JEFFREY","middleName":"MICHAEL"},{"crd":"5818674","suffix":"JR","lastName":"GOYETTE","firstName":"JEFFREY","middleName":"MICHAEL"},{"crd":"6339112","suffix":null,"lastName":"Goyette","firstName":"John","middleName":"Charles"},{"crd":"6973817","suffix":null,"lastName":"Grams","firstName":"Marshall","middleName":"John"},{"crd":"6904175","suffix":null,"lastName":"Haddad","firstName":"Matthew","middleName":"Joseph"},{"crd":"5987795","suffix":null,"lastName":"HAHN","firstName":"PATRICK","middleName":"GAVIN"},{"crd":"7287401","suffix":null,"lastName":"Hine","firstName":"Evan","middleName":"D"},{"crd":"7580207","suffix":null,"lastName":"Hudson","firstName":"Garrett","middleName":"Douglas"},{"crd":"7450169","suffix":null,"lastName":"Hughes","firstName":"Jessie","middleName":null},{"crd":"5508517","suffix":null,"lastName":"KAMERY","firstName":"WILLIAM","middleName":"JOSEPH"},{"crd":"4607011","suffix":null,"lastName":"KEANE","firstName":"NICOLE'","middleName":"CHARLES MEREDITH"},{"crd":"5733084","suffix":null,"lastName":"KELLER","firstName":"BRYAN","middleName":"PAUL"},{"crd":"851300","suffix":null,"lastName":"King","firstName":"James","middleName":"David"},{"crd":"4679083","suffix":null,"lastName":"KING","firstName":"JOHN","middleName":"Harmon"},{"crd":"1242982","suffix":null,"lastName":"LEVIN","firstName":"JEFFREY","middleName":"DAVID"},{"crd":"1155886","suffix":null,"lastName":"LOVELESS","firstName":"DONALD","middleName":"STEVEN"},{"crd":"5890506","suffix":null,"lastName":"MCWILLIAMS","firstName":"ROSS","middleName":"Patrick"},{"crd":"6146825","suffix":null,"lastName":"MERLONGHI","firstName":"SEAN","middleName":"DAVID"},{"crd":"729104","suffix":null,"lastName":"MIDDLETON","firstName":"JAY","middleName":"COLIN"},{"crd":"4515022","suffix":null,"lastName":"MIKUS","firstName":"WILLIAM","middleName":"JOHN"},{"crd":"4583215","suffix":null,"lastName":"MONTES","firstName":"JEANNA","middleName":"LOYDELL"},{"crd":"841903","suffix":null,"lastName":"MORRIS","firstName":"TERRY","middleName":"LEE"},{"crd":"4526562","suffix":null,"lastName":"MULLINS","firstName":"THOMAS","middleName":"BRODERICK"},{"crd":"1734128","suffix":null,"lastName":"OBARA","firstName":"MYRANDA","middleName":"JANE"},{"crd":"5023123","suffix":null,"lastName":"ORVIETO","firstName":"BRETT","middleName":"WILLIAM"},{"crd":"2335126","suffix":null,"lastName":"PACE","firstName":"LEON","middleName":"NICHOLAS"},{"crd":"1731492","suffix":null,"lastName":"PAVLIK","firstName":"ROBERT","middleName":"GLENN"},{"crd":"363755","suffix":null,"lastName":"PINENO","firstName":"FRANCIS","middleName":"ANTHONY"},{"crd":"4825202","suffix":null,"lastName":"POND","firstName":"JONATHAN","middleName":"DAVIDSON"},{"crd":"7419425","suffix":null,"lastName":"QUINTAL","firstName":"JOSEPH","middleName":null},{"crd":"1264256","suffix":"III","lastName":"RAIMONDI","firstName":"PETER","middleName":"JOHN"},{"crd":"1662206","suffix":null,"lastName":"RANCE","firstName":"JILL","middleName":"DEBRA"},{"crd":"6602026","suffix":null,"lastName":"Rector","firstName":"Maribeth","middleName":"A."},{"crd":"4414881","suffix":null,"lastName":"RIOS","firstName":"MARILYN","middleName":"ASHLEY"},{"crd":"2727091","suffix":null,"lastName":"RONLUND","firstName":"SAMUEL","middleName":"JOHN"},{"crd":"4789329","suffix":null,"lastName":"RUARK","firstName":"CARRIE","middleName":"MAE"},{"crd":"6211047","suffix":null,"lastName":"SCHAA","firstName":"ROBIN","middleName":"ANN"},{"crd":"5679483","suffix":null,"lastName":"Steiger","firstName":"Matthew","middleName":null},{"crd":"7509988","suffix":"Jr.","lastName":"Strachan","firstName":"David","middleName":"Gorham"},{"crd":"6771505","suffix":null,"lastName":"Strahan","firstName":"Madison","middleName":"Michelle"},{"crd":"6087473","suffix":null,"lastName":"SUSKEVICH","firstName":"BRIAN","middleName":null},{"crd":"1023061","suffix":"JR","lastName":"TONREY","firstName":"JAMES","middleName":"KEHOE"},{"crd":"2494238","suffix":null,"lastName":"VLADIMIROU","firstName":"DAVID","middleName":"L"},{"crd":"8212871","suffix":null,"lastName":"Westby","firstName":"Reiner","middleName":"Lawson"},{"crd":"7167097","suffix":null,"lastName":"WILLIAMS","firstName":"RHYS","middleName":null}],"total":61,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-07-16","regulatoryAum":1420248857,"clients":1023,"employees":31,"offices":14},{"filedOn":"2022-07-25","regulatoryAum":1950933900,"clients":1132,"employees":56,"offices":16},{"filedOn":"2023-07-17","regulatoryAum":2548153882,"clients":1746,"employees":57,"offices":18},{"filedOn":"2024-06-20","regulatoryAum":5334134989,"clients":3052,"employees":84,"offices":22},{"filedOn":"2025-06-05","regulatoryAum":6335261507,"clients":3152,"employees":78,"offices":20},{"filedOn":"2026-08-11","regulatoryAum":6941956964,"clients":3764,"employees":91,"offices":22}],"acquisitions":[{"date":"2025-12-01","datePrecision":"day","name":"Lindenwold Advisors","crd":"308454","source":"adv_w","dealType":"acquisition","sellerAum":278552303,"sellerAumDate":"2025-03-20","sourceUrl":"https://adviserinfo.sec.gov/firm/summary/308454"},{"date":"2025-02-24","datePrecision":"day","name":"Dakore Wealth Management","crd":"310618","source":"adv_w","dealType":"acquisition","sellerAum":76621674,"sellerAumDate":"2024-03-19","sourceUrl":"https://adviserinfo.sec.gov/firm/summary/310618"},{"date":"2023-12-31","datePrecision":"day","name":"Ledge Wealth Management (Ledge Wealth)","crd":"165713","source":"adv_w","dealType":"acquisition","sellerAum":350927270,"sellerAumDate":"2023-03-22","sourceUrl":"https://adviserinfo.sec.gov/firm/summary/165713"},{"date":"2023-09-25","datePrecision":"day","name":"Stillwater Investment Management","crd":"132237","source":"adv_w","dealType":"acquisition","sellerAum":535205899,"sellerAumDate":"2023-03-06","sourceUrl":"https://adviserinfo.sec.gov/firm/summary/132237"},{"date":"2023-09-01","datePrecision":"day","name":"Jonathan D. Pond","crd":"131395","source":"adv_w","dealType":"acquisition","sellerAum":346394000,"sellerAumDate":"2023-02-28","sourceUrl":"https://adviserinfo.sec.gov/firm/summary/131395"},{"date":"2022-07-01","datePrecision":"day","name":"Loveless Wealth Management","crd":"110024","source":"adv_w","dealType":"acquisition","sellerAum":205620347,"sellerAumDate":"2021-07-27","sourceUrl":"https://adviserinfo.sec.gov/firm/summary/110024"},{"date":"2022-02-24","datePrecision":"day","name":"Pineno Levin & Ford Asset Management","crd":"105914","source":"adv_w","dealType":"acquisition","sellerAum":371015292,"sellerAumDate":"2021-02-23","sourceUrl":"https://adviserinfo.sec.gov/firm/summary/105914"},{"date":"2021-09-21","datePrecision":"day","name":"Persimmon Capital Management","crd":"108107","source":"adv_w","dealType":"acquisition","sellerAum":262805000,"sellerAumDate":"2021-07-08","sourceUrl":"https://adviserinfo.sec.gov/firm/summary/108107"},{"date":"2019-10-31","datePrecision":"day","name":"Springside Partners","crd":"172934","source":"adv_w","dealType":"acquisition","sellerAum":null,"sellerAumDate":null,"sourceUrl":"https://adviserinfo.sec.gov/firm/summary/172934"}],"secFileNumber":"801-114097","legalName":"Dakota Wealth, LLC","displayName":"Dakota Wealth","slug":"dakota-wealth-297987","website":"https://dakotawm.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/297987/e514aed167658d88-r1.webp","tone":"light","width":1021,"height":200,"sourceUrl":"https://www.dakotawm.com/","sourceLabel":"Dakota Wealth, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/dakota-wealth-management","xUrl":"https://twitter.com/DakotaWealth","founded":null,"organization":"Florida limited liability company","fiscalYearEnd":"December","headquarters":{"street":"11376 N. Jog Road, Suite 101","city":"Palm Beach Gardens","state":"FL","stateName":"Florida","country":"United States","postalCode":"33418-1752"},"tradeNames":["Dakota Wealth Management"],"registration":{"secApproved":"8 October 2018","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1767374.535944206,"staff":{"employees":91,"advisory":61,"brokerDealerReps":0,"insuranceAgents":0,"promoters":1},"aum":{"regulatory":6941956964,"discretionary":6933273402,"discretionaryAccounts":11148,"nonDiscretionary":8683562,"nonDiscretionaryAccounts":13,"wrapProgram":null,"nonUsClientsPct":1,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":2441,"regulatoryAum":1931139554},{"label":"High-net-worth individuals","clients":1287,"regulatoryAum":4657632716},{"label":"Pooled investment vehicles","clients":1,"regulatoryAum":465000},{"label":"Pension and profit-sharing plans","clients":14,"regulatoryAum":297025074},{"label":"Charitable organizations","clients":12,"regulatoryAum":51972518},{"label":"Corporations and other businesses","clients":9,"regulatoryAum":3722102}],"feePrograms":[{"role":"main","program":"Wealth Management and Investment Management Services","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024489","versionId":1024489,"ratePeriod":"annual","fee_billing":"both","submittedOn":"2026-03-24","documentName":"DAKOTA WEALTH FORM ADV PART 2A","fee_rate_low":null,"fee_rate_high":2,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning Services","summary":"Stand-alone financial planning for a fixed fee, typically $5,000 to $25,000 per engagement; up to 50% may be invoiced on signing.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024489","versionId":1024489,"submittedOn":"2026-03-24","documentName":"DAKOTA WEALTH FORM ADV PART 2A"},{"role":"other","program":"Investment Consulting Services","summary":"Fixed fee ranging from $1,000 to $15,000 for consulting outside investment management, which may be negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024489","versionId":1024489,"submittedOn":"2026-03-24","documentName":"DAKOTA WEALTH FORM ADV PART 2A"},{"role":"other","program":"Retirement Plan Advisory Services","summary":"Annual asset-based fee ranging from 0.25% to 1.00%, billed quarterly in advance and possibly negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024489","versionId":1024489,"submittedOn":"2026-03-24","documentName":"DAKOTA WEALTH FORM ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T03:44:52.687242+00:00","documents":[{"name":"DAKOTA WEALTH FORM ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024489","versionId":1024489,"submittedOn":"2026-03-24"}]},"custodians":[{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":1838799699},{"name":"Pershing Advisor Solutions LLC","shortName":"Pershing","location":"Jersey City, NJ","smaAssets":1170967665},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":3484464852}],"custodyNote":"Dakota Wealth has custody of $1.93B for 1,695 clients.","otherCustodians":[],"leadership":[{"name":"Peter Raimondi","title":"Chief Executive Officer","crd":"1264256"},{"name":"Bryan Keller","title":"President","crd":"5733084"},{"name":"Leslie Arsenault Metz","title":"Chief Operating Officer, General Counsel","crd":"7631002"},{"name":"Kayla Berg","title":"Chief Compliance Officer","crd":"7191281"},{"name":"Luke Baxter","title":"Chief Technology Officer","crd":"5569377"},{"name":"Timothy Melly","title":"Chief Investment Officer","crd":"4976825"}],"ownership":[{"label":"Dakota Wealth Management, LLC","detail":"Managing member in the 75% or more ownership band and a control person, since May 2018."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":21,"privateResidences":5},"listedOfficeAddresses":17,"foreignOffices":[],"officesByState":[{"state":"Delaware","offices":1,"addresses":[{"street":"1413 Savannah RD","city":"Lewes"}]},{"state":"Florida","offices":3,"addresses":[{"street":"11376 N. Jog Road, Suite 101","city":"Palm Beach Gardens","headquarters":true},{"street":"2400 E. Commercial BLVD.","city":"Fort Lauderdale"},{"street":"2840 South Ocean BLVD","city":"Palm Beach"}]},{"state":"Massachusetts","offices":2,"addresses":[{"street":"One Gateway Center, 300 Washington Street","city":"Newton"},{"street":"272 Chauncy Street","city":"Mansfield"}]},{"state":"Minnesota","offices":2,"addresses":[{"street":"423 South Main Street","city":"Stillwater"},{"street":"2454 8th Avenue S","city":"Sartell"}]},{"state":"Montana","offices":1,"addresses":[{"street":"2615 St. Johns Ave","city":"Billings"}]},{"state":"New Hampshire","offices":1,"addresses":[{"street":"100 Arboretum Drive","city":"Portsmouth"}]},{"state":"New York","offices":1,"addresses":[{"street":"432 North Franklin Street","city":"Syracuse"}]},{"state":"Ohio","offices":1,"addresses":[{"street":"275 Springside Drive","city":"Akron"}]},{"state":"Pennsylvania","offices":3,"addresses":[{"street":"5010 Ritter Road","city":"Mechanicsburg"},{"street":"461 N. 3rd Street","city":"Philadelphia"},{"street":"505 Penn Street","city":"Reading"}]},{"state":"South Carolina","offices":1,"addresses":[{"street":"840 William Hilton Parkway","city":"Hilton Head"}]},{"state":"Virginia","offices":1,"addresses":[{"street":"7275 Glen Forest Drive","city":"Richmond"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"561-774-8101","stateRegisteredReps":52,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)","Pension consulting services","Selection of other advisers (including private fund managers)","Other"],"financialPlanningClients":"26-50","assetMix":[{"label":"Exchange-traded equity securities","percent":75},{"label":"U.S. government/agency bonds","percent":2},{"label":"U.S. state and local bonds","percent":2},{"label":"Investment grade corporate bonds","percent":3},{"label":"Securities issued by registered investment companies or business development companies","percent":12},{"label":"Cash and cash equivalents","percent":6}],"privateFunds":1},"sources":{"adv1FilingDate":"11 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/297987/PDF/297987.pdf","brochureDate":"24 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024489","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Dakota Wealth have?","answer":"Dakota Wealth has 3,764 clients and manages $6.94 billion for them, as of August 2026. They include 2,441 individual clients, 1,287 high-net-worth individuals, and 14 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 11 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Dakota Wealth offer?","answer":"Dakota Wealth provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, pension consulting, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Dakota Wealth charge?","answer":"Dakota Wealth charges up to 2.00% a year for its Wealth Management and Investment Management Services. The fee is billed in advance or in arrears and is negotiable.","source":"DAKOTA WEALTH FORM ADV PART 2A, filed 24 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Dakota Wealth use?","answer":"Dakota Wealth’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $3.48B, Fidelity Brokerage Services LLC (Boston, MA), with $1.84B and Pershing Advisor Solutions LLC (Jersey City, NJ), with $1.17B. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 11 August 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Dakota Wealth have?","answer":"Dakota Wealth has 52 investment adviser representatives registered with state securities authorities, out of 91 employees, and 61 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Dakota Wealth invest in?","answer":"At the end of its last fiscal year, Dakota Wealth’s separately managed accounts held 75% exchange-traded equities, 12% registered funds (mutual funds, ETFs, BDCs), 6% cash and equivalents, 3% investment grade corporate bonds, 2% U.S. government and agency bonds and 2% state and local bonds. It advises 1 private fund.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Dakota Wealth?","answer":"Dakota Wealth’s direct owner is Dakota Wealth Management, LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 11 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Dakota Wealth get paid?","answer":"Dakota Wealth is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Dakota Wealth?","answer":"Dakota Wealth’s main office is at 11376 N. Jog Road, Suite 101, Palm Beach Gardens, FL 33418-1752. Its phone number is 561-774-8101. Its website is dakotawm.com.","source":"Form ADV Part 1A, Item 1.F, filed 11 August 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}