{"url":"https://nivawealth.com/firms/dorman-financial-management-p-a-136881","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/136881","regulatoryAum":160580740,"crd":"136881","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5592994","suffix":null,"lastName":"ARB","firstName":"CHELSEA","middleName":"ERIN"},{"crd":"2842570","suffix":"JR","lastName":"DORMAN","firstName":"JAMES","middleName":"BROOKS"}],"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":"2021-03-09","regulatoryAum":153495796,"clients":338,"employees":6,"offices":1},{"filedOn":"2022-03-09","regulatoryAum":161243565,"clients":318,"employees":6,"offices":1},{"filedOn":"2023-03-29","regulatoryAum":143225629,"clients":315,"employees":5,"offices":1},{"filedOn":"2024-04-15","regulatoryAum":145100400,"clients":315,"employees":6,"offices":1},{"filedOn":"2025-03-03","regulatoryAum":147802769,"clients":261,"employees":5,"offices":1},{"filedOn":"2026-02-25","regulatoryAum":160580740,"clients":262,"employees":2,"offices":1}],"secFileNumber":"801-66938","legalName":"Dorman Financial Management, P.a.","displayName":"Dorman Financial Management, P.A.","slug":"dorman-financial-management-p-a-136881","website":"https://dormanfinancial.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/136881/b5c7f7ebb6646cc0-r1.webp","tone":"light","width":880,"height":200,"sourceUrl":"https://www.dormanfinancial.com/","sourceLabel":"Dorman Financial Management, P.a., website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/dorman-financial-management-p-a-","founded":null,"organization":"Florida corporation","fiscalYearEnd":"December","headquarters":{"street":"557 N. Wymore Road, Suite 201","city":"Maitland","state":"FL","stateName":"Florida","country":"United States","postalCode":"32751"},"tradeNames":[],"registration":{"secApproved":"6 July 2006","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":598245.8129770992,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":160580740,"discretionary":158406462,"discretionaryAccounts":756,"nonDiscretionary":2174278,"nonDiscretionaryAccounts":2,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":204,"regulatoryAum":55875955},{"label":"High-net-worth individuals","clients":58,"regulatoryAum":100864448},{"label":"Pension and profit-sharing plans","clients":null,"fewerThan5":true,"regulatoryAum":3840337}],"feePrograms":[{"role":"main","program":"Portfolio Management Services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011907","versionId":1011907,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-02-25","documentName":"DORMAN FINANCIAL MANAGEMENT, P.A. ADV BROCHURE","fee_rate_low":0.4,"fee_rate_high":2,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning","summary":"Broad-based financial planning is a fixed fee of generally $1,000 to $5,000, negotiable by complexity and scope, with 50% payable in advance.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011907","versionId":1011907,"submittedOn":"2026-02-25","documentName":"DORMAN FINANCIAL MANAGEMENT, P.A. ADV BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T13:19:49.844329+00:00","documents":[{"name":"DORMAN FINANCIAL MANAGEMENT, P.A. ADV BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011907","versionId":1011907,"submittedOn":"2026-02-25"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":149414781}],"custodyNote":"Dorman Financial Management, P.A. has custody of $60.5M for 129 clients.","otherCustodians":[],"leadership":[{"name":"James Dorman","title":"President/CCO","crd":"2842570"}],"ownership":[{"label":"James Dorman","detail":"President/cco in the 75% or more ownership band and a control person, since January 2002."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Florida","offices":1,"addresses":[{"street":"557 N. Wymore Road, Suite 201","city":"Maitland","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"407-774-6815","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Other"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":12},{"label":"U.S. state and local bonds","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":82},{"label":"Cash and cash equivalents","percent":4}],"privateFunds":0},"sources":{"adv1FilingDate":"25 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/136881/PDF/136881.pdf","brochureDate":"25 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011907","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 Dorman Financial Management, P.A. have?","answer":"Dorman Financial Management, P.A. has 262 clients and manages $161 million for them, as of February 2026. They include 204 individual clients and 58 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 25 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Dorman Financial Management, P.A. offer?","answer":"Dorman Financial Management, P.A. 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 Dorman Financial Management, P.A. charge?","answer":"Dorman Financial Management, P.A. charges 0.40%–2.00% a year for its Portfolio Management Services. The fee is billed in advance and is negotiable.","source":"DORMAN FINANCIAL MANAGEMENT, P.A. ADV BROCHURE, filed 25 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Dorman Financial Management, P.A. use?","answer":"Dorman Financial Management, P.A.’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $149M. 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 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Dorman Financial Management, P.A. have?","answer":"Dorman Financial Management, P.A. has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","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 Dorman Financial Management, P.A. invest in?","answer":"At the end of its last fiscal year, Dorman Financial Management, P.A.’s separately managed accounts held 82% registered funds (mutual funds, ETFs, BDCs), 12% exchange-traded equities, 4% cash and equivalents and 2% state and local 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 Dorman Financial Management, P.A.?","answer":"Dorman Financial Management, P.A.’s direct owner is James Dorman (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 25 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Dorman Financial Management, P.A. get paid?","answer":"Dorman Financial Management, P.A. 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 Dorman Financial Management, P.A.?","answer":"Dorman Financial Management, P.A.’s main office is at 557 N. Wymore Road, Suite 201, Maitland, FL 32751. Its phone number is 407-774-6815. Its website is dormanfinancial.com.","source":"Form ADV Part 1A, Item 1.F, filed 25 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."}