{"url":"https://nivawealth.com/firms/disciplined-portfolio-solutions-160072","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/160072","regulatoryAum":230719685,"crd":"160072","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2836992","suffix":null,"lastName":"SPARACINO","firstName":"PHILIP","middleName":null}],"total":1,"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":"2021-02-02","regulatoryAum":141736910,"clients":56,"employees":1,"offices":1},{"filedOn":"2022-03-01","regulatoryAum":168706382,"clients":57,"employees":1,"offices":2},{"filedOn":"2023-06-29","regulatoryAum":145532480,"clients":53,"employees":1,"offices":2},{"filedOn":"2024-02-23","regulatoryAum":170745400,"clients":55,"employees":1,"offices":2},{"filedOn":"2025-02-19","regulatoryAum":194623857,"clients":56,"employees":1,"offices":2},{"filedOn":"2026-02-10","regulatoryAum":230719685,"clients":59,"employees":1,"offices":2}],"secFileNumber":"801-74471","legalName":"Disciplined Portfolio Solutions LLC","displayName":"Disciplined Portfolio Solutions","slug":"disciplined-portfolio-solutions-160072","website":"https://dpsinvesting.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"2011","organization":"New York limited liability company","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":["DPS"],"registration":{"secApproved":"27 March 2012","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":3465235.7586206896,"staff":{"employees":1,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":230719685,"discretionary":31863725,"discretionaryAccounts":2,"nonDiscretionary":198855960,"nonDiscretionaryAccounts":57,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":25,"regulatoryAum":8126829},{"label":"High-net-worth individuals","clients":33,"regulatoryAum":192856845},{"label":"Pension and profit-sharing plans","clients":1,"fewerThan5":true,"regulatoryAum":29736011}],"feePrograms":[{"role":"main","program":"Investment Supervisory Services","feeBasis":"marginal","fee_tiers":[{"to":1000000,"pct":0.75,"from":0},{"to":3000000,"pct":0.65,"from":1000000},{"to":null,"pct":0.5,"from":3000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1007710","versionId":1007710,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-02-10","documentName":"ADV FORM 2A - DISCIPLINED PORTFOLIO SOLUTIONS LLC","fee_rate_low":0.5,"fee_rate_high":0.75,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T14:27:03.422644+00:00","documents":[{"name":"ADV FORM 2A - DISCIPLINED PORTFOLIO SOLUTIONS LLC","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1007710","versionId":1007710,"submittedOn":"2026-02-10"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":230719685}],"custodyNote":"Disciplined Portfolio Solutions does not have custody of client assets.","leadership":[{"name":"Philip Sparacino","title":"Managing Member/Chief Compliance Officer","crd":"2836992"}],"ownership":[{"label":"Philip Sparacino","detail":"Managing member/chief compliance officer in the 75% or more ownership band and a control person, since December 2011."}],"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"North Carolina","offices":1,"addresses":[{"street":"3002 Catesville Cir","city":"Leland"}]}],"brochureServices":["education planning","insurance","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"631-486-9200","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"51-100","assetMix":[{"label":"Exchange-traded equity securities","percent":59},{"label":"U.S. government/agency bonds","percent":4},{"label":"U.S. state and local bonds","percent":3},{"label":"Investment grade corporate bonds","percent":3},{"label":"Securities issued by registered investment companies or business development companies","percent":28},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"10 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/160072/PDF/160072.pdf","brochureDate":"10 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1007710","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 Disciplined Portfolio Solutions have?","answer":"Disciplined Portfolio Solutions has 59 clients and manages $231 million for them, as of February 2026. They include 33 high-net-worth individuals, 25 individual clients and 1 pension or profit-sharing plan.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 10 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Disciplined Portfolio Solutions offer?","answer":"Disciplined Portfolio Solutions provides financial planning, portfolio management for individuals and small businesses, education planning, insurance, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Disciplined Portfolio Solutions charge?","answer":"Disciplined Portfolio Solutions charges 0.50%–0.75% a year for its Investment Supervisory Services. Each asset band is charged at its own rate. The fee is billed in advance and is negotiable.","source":"ADV FORM 2A - DISCIPLINED PORTFOLIO SOLUTIONS LLC, filed 10 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Disciplined Portfolio Solutions use?","answer":"Disciplined Portfolio Solutions’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $231M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 10 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Disciplined Portfolio Solutions have?","answer":"Disciplined Portfolio Solutions 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Disciplined Portfolio Solutions invest in?","answer":"At the end of its last fiscal year, Disciplined Portfolio Solutions’ separately managed accounts held 59% exchange-traded equities, 28% registered funds (mutual funds, ETFs, BDCs), 4% U.S. government and agency bonds, 3% state and local bonds, 3% investment grade corporate bonds and 3% cash and equivalents.","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 Disciplined Portfolio Solutions?","answer":"Disciplined Portfolio Solutions’ direct owner is Philip Sparacino (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 10 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Disciplined Portfolio Solutions get paid?","answer":"Disciplined Portfolio Solutions 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":"Is Disciplined Portfolio Solutions registered with the SEC?","answer":"Yes, Disciplined Portfolio Solutions has been registered with the SEC as an investment adviser since 27 March 2012. Its CRD number is 160072 and its SEC file number is 801-74471.","source":"Form ADV Part 1A, Item 1, filed 10 February 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Disciplined Portfolio Solutions?","answer":"Its phone number is 631-486-9200. Its website is dpsinvesting.com.","source":"Form ADV Part 1A, Item 1.F, filed 10 February 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."}