Directional Asset Management provides financial planning, portfolio management for individuals and small businesses, and selecting other managers. Financial planning was provided to 1–10 clients last fiscal year.
Directional Asset Management reports 48 clients. They include 36 high-net-worth individuals, 8 individual clients, and 3 corporations and other businesses. Of its assets, 91.2% ($125M across 87 accounts) are managed with discretion; $12M across 8 accounts are not. Of its clients, 1% are outside the U.S. It advised 1 client without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 17% | 1% |
| High-net-worth individuals | 75% | 99% |
| Charitable organizations | 2% | 0% |
| Corporations and other businesses | 6% | <1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 8 | $1.71M | 1.3% | $214K |
| High-net-worth individuals | 36 | $135M | 98.7% | $3.75M |
| Charitable organizations | Fewer than 5 | $0 | 0.0% | $0 |
| Corporations and other businesses | 3 | $50K | 0.0% | $16.7K |
| Total | 48 | $137M | 100% | — |
- Clients
- 8
- Regulatory AUM
- $1.71M
- AUM share
- 1.3%
- Avg. per client
- $214K
- Clients
- 36
- Regulatory AUM
- $135M
- AUM share
- 98.7%
- Avg. per client
- $3.75M
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- $0
- Clients
- 3
- Regulatory AUM
- $50K
- AUM share
- 0.0%
- Avg. per client
- $16.7K
Total
- Clients
- 48
- Regulatory AUM
- $137M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 1%
- Clients advised without assets under management last fiscal year
- 1
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 1–10
Directional Asset Management charges 0.65%–1.00% a year for its Investment Supervisory Services. Each asset band is charged at its own rate. The fee is billed in arrears and is negotiable. The brochure also prices one other service, listed under fee details.
| Asset band | Annual rate |
|---|---|
| $0–$1M | 1.00% |
| $1M–$3M | 0.90% |
| $3M–$5M | 0.80% |
| $5M–$10M | 0.70% |
| $10M and above | 0.65% |
Fee details and sources
Other fees
- Financial Planning
- Financial planning is billed at an hourly fee of $175, negotiable, paid in arrears upon completion.
Daniel Short owns 75% or more of Directional Asset Management. The leadership team of Directional Asset Management includes President Daniel Short and Chief Compliance Officer Roberto Moreiro. It has 1 employee.
Leadership
- Daniel ShortPresident/Chief Investment Officer
- Roberto MoreiroChief Compliance Officer
Investment adviser representatives
1 representatives listed in the SEC register as of 9 October 2026.
Staff
- 1 employee
- 1 in advisory functions
- 1 state-registered rep
- Owns 75% or more of Directional Asset Management, LLC
Daniel Short
Control person · since January 2010
Directional Asset Management’s regulatory assets grew from $118M (July 2025) to $137M (March 2026); clients rose from 42 to 48 and employees were 1 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $137M | 48 | 1 | 1 |
| July 2025 | $118M | 42 | 1 | 1 |
Besides its headquarters, Directional Asset Management has 0 offices, with 1 listed address in Illinois.
Illinois · 1 listed address
- 171 W Wing St, #206, Arlington HeightsHQ
Contact and registration details
- Legal name
- Directional Asset Management, LLC
- Headquarters
- 171 W Wing St, #206, Arlington Heights, IL 60005
- Website
- Not reported
- Phone
- 847-749-2312
- SEC file
- 801-131363
- Structure
- Illinois LLC
- Fiscal year end
- December
Directional Asset Management uses Charles Schwab ($137M) as custodian for its separately managed accounts. Directional Asset Management does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $137M100%
At year end, Directional Asset Management’s separately managed accounts were mostly in stocks (87%). Its reported 13F holdings for the quarter ended 30 June 2026 total $118M across 94 positions; the largest are Alphabet Inc. (7.8%), Apple Inc. (6.3%) and Option Care Health Inc. (call option) (6.1%).
What the accounts hold
- Stocks87%
- Funds3%
- Bonds9%
- U.S. government and agency bonds5%
- State and local bonds4%
- Cash1%
Reported 13F holdings
- $118M
- Reported 13F value
- 94
- Positions
- 43.7%
- In the 10 largest
- +8.1%
- Value vs. prior quarter
- Alphabet Inc. · Cap Stk CL C7.8%
- Apple Inc.6.3%
- Option Care Health Inc.Call6.1%
- Walmart Inc.4.5%
- J P Morgan Exchange Traded F · Ultra Shrt ETF3.7%
- iShares TR · Core Div Grwth3.6%
- Johnson & Johnson3.3%
- Goldman Sachs Group Inc.2.8%
- Amazon Com Inc.2.8%
- JPMORGAN Chase & CO2.7%
Together, the ten largest are 43.7% of reported value.
How many clients does Directional Asset Management have?
Directional Asset Management has 48 clients and manages $137 million for them, as of March 2026. They include 36 high-net-worth individuals, 8 individual clients, and 3 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 25 March 2026
What services does Directional Asset Management offer?
Directional Asset Management provides financial planning, portfolio management for individuals and small businesses, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Directional Asset Management charge?
Directional Asset Management charges 0.65%–1.00% a year for its Investment Supervisory Services. Each asset band is charged at its own rate. The fee is billed in arrears and is negotiable.
Source: ADV FORM 2A, filed 25 March 2026
Which custodians does Directional Asset Management use?
Directional Asset Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $137M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 25 March 2026
How many financial advisors does Directional Asset Management have?
Directional Asset Management has 1 investment adviser representative registered with state securities authorities, out of 1 employees, and 1 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
What does Directional Asset Management invest in?
At the end of its last fiscal year, Directional Asset Management’s separately managed accounts held 87% exchange-traded equities, 5% U.S. government and agency bonds, 4% state and local bonds, 3% registered funds (mutual funds, ETFs, BDCs) and 1% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Directional Asset Management?
Directional Asset Management’s direct owner is Daniel Short (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 25 March 2026
How does Directional Asset Management get paid?
Directional Asset Management is paid through a percentage of assets under management, hourly charges and other compensation. 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
How do I contact Directional Asset Management?
Directional Asset Management’s main office is at 171 W Wing St, #206, Arlington Heights, IL 60005. Its phone number is 847-749-2312.