{"url":"https://nivawealth.com/firms/diccianni-financial-group-149332","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/149332","regulatoryAum":128780065,"crd":"149332","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"3160122","suffix":null,"lastName":"DICCIANNI","firstName":"CYNTHIA","middleName":"DEMETRIS"},{"crd":"7224475","suffix":null,"lastName":"LAWSON","firstName":"LUC","middleName":"ANDREW ALLEN"}],"total":2,"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":"2025-06-25","regulatoryAum":111229747,"clients":117,"employees":4,"offices":1},{"filedOn":"2026-09-14","regulatoryAum":128780065,"clients":321,"employees":4,"offices":1}],"secFileNumber":"801-133763","legalName":"Diccianni Financial Group, Inc.","displayName":"Diccianni Financial 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2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":394873.62341772154,"staff":{"employees":4,"advisory":2,"brokerDealerReps":2,"insuranceAgents":2,"promoters":0},"aum":{"regulatory":128780065,"discretionary":128780065,"discretionaryAccounts":336,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":272},"clientTypes":[{"label":"Individuals (other than HNW)","clients":272,"regulatoryAum":68780065},{"label":"High-net-worth individuals","clients":44,"regulatoryAum":56000000},{"label":"Pension and profit-sharing plans","clients":5,"regulatoryAum":4000000}],"feePrograms":[{"role":"main","program":"Wealth Management 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BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1057712","versionId":1057712,"submittedOn":"2026-09-14"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":129570000}],"custodyNote":"Diccianni Financial Group has custody of $52.3M in client assets for 91 clients.","otherCustodians":[],"leadership":[{"name":"Jeanne Lawson","title":"Chief Operating Officer","crd":"5847467"},{"name":"Cynthia Diccianni","title":"Principal, CEO, CCO","crd":"3160122"},{"name":"Jade Lawson","title":"Back Office Manager","crd":"6752156"},{"name":"Luc Lawson","title":"Investment Advisory Representative","crd":"7224475"}],"ownership":[{"label":"Cynthia Diccianni","detail":"Principal, ceo, cco in the 75% or more ownership band and a control person, since January 2006."},{"label":"Jeanne Lawson","detail":"Chief operating officer in the 25% to 50% ownership band and a control person, since July 2026."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Pennsylvania","offices":1,"addresses":[{"street":"333 West Germantown Pike","city":"East Norriton","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"484-681-9046","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":50},{"label":"U.S. government/agency bonds","percent":5},{"label":"U.S. state and local bonds","percent":7},{"label":"Investment grade corporate bonds","percent":3},{"label":"Securities issued by registered investment companies or business development companies","percent":30},{"label":"Cash and cash equivalents","percent":5}],"privateFunds":0},"sources":{"adv1FilingDate":"14 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/149332/PDF/149332.pdf","brochureDate":"14 September 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1057712","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 Diccianni Financial Group have?","answer":"Diccianni Financial Group has 321 clients and manages $129 million for them, as of September 2026. They include 272 individual clients, 44 high-net-worth individuals, and 5 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 14 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Diccianni Financial Group offer?","answer":"Diccianni Financial Group provides financial planning and portfolio management for individuals and small businesses.","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 Diccianni Financial Group charge?","answer":"Diccianni Financial Group charges 0.75%–1.15% a year for its Wealth Management Services. Each asset band is charged at its own rate. The fee is billed in arrears and is negotiable.","source":"DICCIANNI ADV PART 2 BROCHURE, filed 14 September 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Diccianni Financial Group use?","answer":"Diccianni Financial Group’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $130M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 14 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Diccianni Financial Group have?","answer":"Diccianni Financial Group has 2 investment adviser representatives registered with state securities authorities, out of 4 employees, and 2 perform investment advisory functions. 2 employees are registered representatives of a broker-dealer and 2 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 Diccianni Financial Group invest in?","answer":"At the end of its last fiscal year, Diccianni Financial Group’s separately managed accounts held 50% exchange-traded equities, 30% registered funds (mutual funds, ETFs, BDCs), 7% state and local bonds, 5% U.S. government and agency bonds, 5% cash and equivalents and 3% investment grade corporate 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 Diccianni Financial Group?","answer":"Diccianni Financial Group’s direct owners are Cynthia Diccianni (75% or more) and Jeanne Lawson (25% to 50%).","source":"Form ADV Part 1A, Schedules A and B, filed 14 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Diccianni Financial Group get paid?","answer":"Diccianni Financial Group is paid through a percentage of assets under management. 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 Diccianni Financial Group?","answer":"Diccianni Financial Group’s main office is at 333 West Germantown Pike, East Norriton, PA 19403. Its phone number is 484-681-9046. Its website is dfgpa.com.","source":"Form ADV Part 1A, Item 1.F, filed 14 September 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."}