{"url":"https://nivawealth.com/firms/dipaolo-financial-group-309637","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/309637","regulatoryAum":167978157,"crd":"309637","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7508988","suffix":null,"lastName":"DIPAOLO","firstName":"ANTHONY","middleName":"LAURIA"},{"crd":"5879175","suffix":null,"lastName":"DIPAOLO","firstName":"JOSEPH","middleName":"LAURIA"},{"crd":"7914666","suffix":null,"lastName":"Hassan","firstName":"Khaled","middleName":null},{"crd":"8097087","suffix":null,"lastName":"Jacovides","firstName":"Ethan","middleName":"Perry"},{"crd":"7172743","suffix":null,"lastName":"Mitela","firstName":"Nicole","middleName":"Ann"}],"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":"2025-07-16","regulatoryAum":125875910,"clients":517,"employees":8,"offices":2},{"filedOn":"2026-04-17","regulatoryAum":167978157,"clients":408,"employees":9,"offices":1}],"secFileNumber":"801-132771","legalName":"Dipaolo Financial Group, Inc.","displayName":"DiPaolo Financial Group","slug":"dipaolo-financial-group-309637","website":"https://dipaolofinancial.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Florida corporation","fiscalYearEnd":"December","headquarters":{"street":"4635 Van Dyke Road","city":"Lutz","state":"FL","stateName":"Florida","country":"United States","postalCode":"33558"},"tradeNames":[],"registration":{"secApproved":"13 May 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":411711.16911764705,"staff":{"employees":9,"advisory":3,"brokerDealerReps":0,"insuranceAgents":3,"promoters":0},"aum":{"regulatory":167978157,"discretionary":166357965,"discretionaryAccounts":1126,"nonDiscretionary":1620192,"nonDiscretionaryAccounts":11,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":3},"clientTypes":[{"label":"Individuals (other than HNW)","clients":335,"regulatoryAum":72966665},{"label":"High-net-worth individuals","clients":73,"regulatoryAum":95011492}],"feePrograms":[{"role":"main","program":"Portfolio Management Fees","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025986","versionId":1025986,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-25","documentName":"ADV PART 2A- DIPAOLO FINANCIAL GROUP, INC.","fee_rate_low":0.9,"fee_rate_high":1.1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"On-going Financial Planning","summary":"On-going financial planning is a negotiated fixed fee between $1,200 and $5,000, paid monthly in arrears.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025986","versionId":1025986,"submittedOn":"2026-03-25","documentName":"ADV PART 2A- DIPAOLO FINANCIAL GROUP, INC."}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T16:39:07.619639+00:00","documents":[{"name":"ADV PART 2A- DIPAOLO FINANCIAL GROUP, INC.","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025986","versionId":1025986,"submittedOn":"2026-03-25"}]},"custodians":[{"name":"Charles Schwab & Co., Inc. 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They include 335 individual clients and 73 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 17 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does DiPaolo Financial Group offer?","answer":"DiPaolo Financial Group provides financial planning, portfolio management for individuals and small businesses, 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 DiPaolo Financial Group charge?","answer":"DiPaolo Financial Group charges 0.90%–1.10% a year for its Portfolio Management Fees. The fee is billed in advance and is negotiable.","source":"ADV PART 2A- DIPAOLO FINANCIAL GROUP, INC., filed 25 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does DiPaolo Financial Group use?","answer":"DiPaolo Financial Group’s separately managed account assets are held at Charles Schwab & Co., Inc. Advisor Services (San Francisco, CA), with $167M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 17 April 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does DiPaolo Financial Group have?","answer":"DiPaolo Financial Group has 3 investment adviser representatives registered with state securities authorities, out of 9 employees, and 3 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 3 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 DiPaolo Financial Group invest in?","answer":"At the end of its last fiscal year, DiPaolo Financial Group’s separately managed accounts held 81% registered funds (mutual funds, ETFs, BDCs), 11% cash and equivalents, 7% exchange-traded equities and 1% other. The 1% other category is described as: Structured Notes.","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 DiPaolo Financial Group?","answer":"DiPaolo Financial Group’s direct owners are Joseph Dipaolo (75% or more) and Anthony Dipaolo (5% to 10%).","source":"Form ADV Part 1A, Schedules A and B, filed 17 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does DiPaolo Financial Group get paid?","answer":"DiPaolo Financial Group 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 DiPaolo Financial Group?","answer":"DiPaolo Financial Group’s main office is at 4635 Van Dyke Road, Lutz, FL 33558. Its phone number is 813-475-3130. Its website is dipaolofinancial.com.","source":"Form ADV Part 1A, Item 1.F, filed 17 April 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/dipaolo-financial-group-309637/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-07-09","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/2111462/000208585326000674/0002085853-26-000674-index.html","totalValue":153068233,"positionCount":47,"top10Share":0.8094624310453757,"top10":[{"issuer":"VANGUARD INDEX FDS","titleOfClass":"GROWTH ETF","cusip":"922908736","value":23780952,"shares":276073,"shareType":"SH","priorValue":19126430,"priorShares":43789},{"issuer":"VANGUARD TAX-MANAGED FDS","titleOfClass":"VAN FTSE DEV MKT","cusip":"921943858","value":23616312,"shares":331457,"shareType":"SH","priorValue":21146173,"priorShares":329996},{"issuer":"VANGUARD INDEX FDS","titleOfClass":"VALUE 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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."}