{"url":"https://nivawealth.com/firms/dale-k-ehrhart-35971","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/35971","regulatoryAum":648772602,"crd":"35971","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1522614","suffix":null,"lastName":"HARTLEY","firstName":"MICHAEL","middleName":"THOMAS"},{"crd":"4828732","suffix":null,"lastName":"HARTLEY","firstName":"MICHAEL","middleName":"WARREN"},{"crd":"4524970","suffix":null,"lastName":"HEIL","firstName":"KEITH","middleName":"EDWARD"},{"crd":"7931845","suffix":null,"lastName":"Jaggi","firstName":"Zachery","middleName":"John"}],"total":4,"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":"2021-04-01","regulatoryAum":622977336,"clients":155,"employees":4,"offices":1},{"filedOn":"2022-03-15","regulatoryAum":672798333,"clients":130,"employees":4,"offices":1},{"filedOn":"2023-03-09","regulatoryAum":605045565,"clients":132,"employees":4,"offices":1},{"filedOn":"2024-06-26","regulatoryAum":536573690,"clients":125,"employees":6,"offices":1},{"filedOn":"2025-05-12","regulatoryAum":561522571,"clients":121,"employees":7,"offices":1},{"filedOn":"2026-03-29","regulatoryAum":648772602,"clients":139,"employees":6,"offices":1}],"secFileNumber":"801-13542","legalName":"Dale K. Ehrhart, Inc.","displayName":"Dale K. Ehrhart","slug":"dale-k-ehrhart-35971","website":"https://dkeinc.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Florida corporation","fiscalYearEnd":"December","headquarters":{"street":"100 W Venice Ave, Suite G","city":"Venice","state":"FL","stateName":"Florida","country":"United States","postalCode":"34285"},"tradeNames":[],"registration":{"secApproved":"17 February 1978","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":4396872.543859649,"staff":{"employees":6,"advisory":4,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":648772602,"discretionary":582634817,"discretionaryAccounts":269,"nonDiscretionary":66137785,"nonDiscretionaryAccounts":40,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":22,"regulatoryAum":6602673},{"label":"High-net-worth individuals","clients":92,"regulatoryAum":494640797},{"label":"Pension and profit-sharing plans","clients":3,"fewerThan5":true,"regulatoryAum":2477880},{"label":"Charitable organizations","clients":11,"regulatoryAum":47056670},{"label":"Corporations and other businesses","clients":11,"regulatoryAum":97994582}],"feePrograms":[{"role":"main","program":"Investment Supervisory Services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1030494","versionId":1030494,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-29","documentName":"DKE, INC. ADV PART 2","fee_rate_low":0.5,"fee_rate_high":1.25,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T05:48:52.233572+00:00","documents":[{"name":"DKE, INC. ADV PART 2","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1030494","versionId":1030494,"submittedOn":"2026-03-29"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":443663160},{"name":"National Financial Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":190567765}],"custodyNote":"Dale K. Ehrhart has custody of $23.7M in client assets for 6 clients.","otherCustodians":[],"leadership":[{"name":"Michael Hartley","title":"President / Chief Compliance Officer","crd":"4828732"},{"name":"Bonnie Hartley","title":"Secretary/Treasurer","crd":"6894411"},{"name":"Michael Hartley","title":"CEO / Owner","crd":"1522614"}],"ownership":[{"label":"Michael Hartley","detail":"Ceo / owner in the 75% or more ownership band and a control person, since January 2003. Also president / chief compliance officer in the 5% to 10% ownership band, since September 2017."},{"label":"Bonnie Hartley","detail":"Secretary/treasurer in the 5% to 10% ownership band, since February 2017."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Florida","offices":1,"addresses":[{"street":"100 W Venice Ave, Suite G","city":"Venice","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"941-485-8220","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Educational seminars/workshops"],"financialPlanningClients":null,"assetMix":[{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":90},{"label":"Cash and cash equivalents","percent":7},{"label":"Other","percent":1,"detail":"Variable Annuities"}],"privateFunds":0},"sources":{"adv1FilingDate":"29 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/35971/PDF/35971.pdf","brochureDate":"29 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1030494","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 Dale K. Ehrhart have?","answer":"Dale K. Ehrhart has 139 clients and manages $649 million for them, as of March 2026. They include 92 high-net-worth individuals, 22 individual clients and 11 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 29 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Dale K. Ehrhart offer?","answer":"Dale K. Ehrhart provides portfolio management for individuals and small businesses, portfolio management for institutions, and educational seminars.","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 Dale K. Ehrhart charge?","answer":"Dale K. Ehrhart charges 0.50%–1.25% a year for its Investment Supervisory Services. The fee is billed in advance and is negotiable.","source":"DKE, INC. ADV PART 2, filed 29 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Dale K. Ehrhart use?","answer":"Dale K. Ehrhart’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $444M and National Financial Services LLC (Boston, MA), with $191M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 29 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Dale K. Ehrhart have?","answer":"Dale K. Ehrhart has 4 investment adviser representatives registered with state securities authorities, out of 6 employees, and 4 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 Dale K. Ehrhart invest in?","answer":"At the end of its last fiscal year, Dale K. Ehrhart’s separately managed accounts held 90% registered funds (mutual funds, ETFs, BDCs), 7% cash and equivalents, 1% U.S. government and agency bonds, 1% state and local bonds and 1% other. The 1% other category is described as: Variable Annuities.","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 Dale K. Ehrhart?","answer":"Dale K. Ehrhart’s direct owners are Michael Hartley (75% or more) and Bonnie Hartley (5% to 10%).","source":"Form ADV Part 1A, Schedules A and B, filed 29 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Dale K. Ehrhart get paid?","answer":"Dale K. Ehrhart 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 Dale K. Ehrhart?","answer":"Dale K. Ehrhart’s main office is at 100 W Venice Ave, Suite G, Venice, FL 34285. Its phone number is 941-485-8220. Its website is dkeinc.com.","source":"Form ADV Part 1A, Item 1.F, filed 29 March 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."}