{"url":"https://nivawealth.com/firms/dcm-advisors-126248","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/126248","regulatoryAum":260523078,"crd":"126248","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5107721","suffix":null,"lastName":"CALDERON","firstName":"MAURO","middleName":"W"},{"crd":"4660813","suffix":null,"lastName":"COTNER","firstName":"PATRICK","middleName":"DOMENIC"},{"crd":"6787550","suffix":null,"lastName":"Davidson","firstName":"Mei","middleName":"Wang"},{"crd":"8223400","suffix":null,"lastName":"Hochman","firstName":"Yisroel","middleName":"Moshe"},{"crd":"1663677","suffix":null,"lastName":"SCHNEIDER","firstName":"THOMAS","middleName":"PETER"}],"total":5,"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":"2021-03-18","regulatoryAum":256768101,"clients":194,"employees":10,"offices":4},{"filedOn":"2022-05-20","regulatoryAum":406587457,"clients":129,"employees":14,"offices":3},{"filedOn":"2023-08-08","regulatoryAum":271219818,"clients":99,"employees":15,"offices":1},{"filedOn":"2024-05-29","regulatoryAum":349795018,"clients":92,"employees":13,"offices":6},{"filedOn":"2025-03-31","regulatoryAum":220149441,"clients":57,"employees":12,"offices":5},{"filedOn":"2026-03-31","regulatoryAum":260523078,"clients":51,"employees":11,"offices":4}],"secFileNumber":"801-112041","legalName":"DCM 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Holdings, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":3,"privateResidences":3},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"33 Whitehall Street, 11th Floor","city":"New York","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"917-386-6260","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Performance-based fees"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for investment companies","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":94},{"label":"U.S. government/agency bonds","percent":1},{"label":"Cash and cash 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They include 34 individual clients, 8 high-net-worth individuals, and 6 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does DCM Advisors offer?","answer":"DCM Advisors provides financial planning, portfolio management for individuals and small businesses, portfolio management for investment companies, and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does DCM Advisors use?","answer":"DCM Advisors’ separately managed account assets are held at First Hawaiian Bank (Honolulu, HI), with $85M, Charles Schwab & Co., Inc. (San Francisco, CA), with $25M and Bank of Labor (Overland Park, KS), with $13.7M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does DCM Advisors have?","answer":"DCM Advisors has 2 investment adviser representatives registered with state securities authorities, out of 11 employees, and 6 perform investment advisory functions. 5 employees are registered representatives of a broker-dealer and 0 employees are 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 DCM Advisors invest in?","answer":"At the end of its last fiscal year, DCM Advisors’ separately managed accounts held 94% exchange-traded equities, 4% cash and equivalents and 1% U.S. government and agency bonds.","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 DCM Advisors?","answer":"DCM Advisors is owned through a holding company by Glenn Grossman. Its direct owner is Dinosaur Group Holdings, LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does DCM Advisors get paid?","answer":"DCM Advisors is paid through a percentage of assets under management, hourly charges and performance-based fees. Its Form ADV lists no commissions 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 DCM Advisors?","answer":"DCM Advisors’ main office is at 33 Whitehall Street, 11th Floor, New York, NY 10004. Its phone number is 917-386-6260. Its website is dcmadvisors.com.","source":"Form ADV Part 1A, Item 1.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/dcm-advisors-126248/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-08-13","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/1839498/000183949826000004/0001839498-26-000004-index.html","totalValue":253303420,"positionCount":38,"top10Share":0.44262299340451067,"top10":[{"issuer":"Apple Inc","titleOfClass":"COM","cusip":"037833100","value":14231144,"shares":49554,"shareType":"SH","priorValue":12063076,"priorShares":47905},{"issuer":"MICROSOFT CORP","titleOfClass":"COM","cusip":"594918104","value":13018958,"shares":35002,"shareType":"SH","priorValue":12295887,"priorShares":33314},{"issuer":"MORGAN STANLEY","titleOfClass":"COM","cusip":"617446448","value":11912772,"shares":58482,"shareType":"SH","priorValue":9041640,"priorShares":61023},{"issuer":"BANK OF AMERICA 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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."}