{"url":"https://nivawealth.com/firms/dovetail-financial-group-311298","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/311298","regulatoryAum":298927453,"crd":"311298","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2703417","suffix":null,"lastName":"GIBLIN","firstName":"MICHAEL","middleName":"DENNIS"},{"crd":"3069597","suffix":null,"lastName":"KIRKPATRICK","firstName":"JEFFREY","middleName":"KENNETH"},{"crd":"1881080","suffix":null,"lastName":"MARINO","firstName":"ROSS","middleName":"LOUIS"}],"total":3,"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":"2021-03-15","regulatoryAum":131470468,"clients":248,"employees":6,"offices":2},{"filedOn":"2022-03-30","regulatoryAum":232864246,"clients":331,"employees":4,"offices":3},{"filedOn":"2023-03-22","regulatoryAum":200703808,"clients":311,"employees":6,"offices":2},{"filedOn":"2024-03-27","regulatoryAum":227897299,"clients":322,"employees":6,"offices":2},{"filedOn":"2025-05-09","regulatoryAum":258530813,"clients":329,"employees":5,"offices":2},{"filedOn":"2026-06-11","regulatoryAum":298927453,"clients":342,"employees":6,"offices":2}],"secFileNumber":"801-119910","legalName":"Dovetail Financial Group LLC","displayName":"Dovetail Financial Group","slug":"dovetail-financial-group-311298","website":"https://dovetailfin.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/311298/22eb0a56d29d4712-r1.webp","tone":"light","width":755,"height":200,"sourceUrl":"https://www.dovetailfin.com/","sourceLabel":"Dovetail Financial Group LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/dovetailfin","xUrl":"https://x.com/dovetailfin","founded":"2020","organization":"North Carolina limited liability company","fiscalYearEnd":"December","headquarters":{"street":"210-4 Avondale Ave","city":"Wilmington","state":"NC","stateName":"North Carolina","country":"United States","postalCode":"28403-7059"},"tradeNames":[],"registration":{"secApproved":"9 December 2020","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":876548.6715542522,"staff":{"employees":6,"advisory":3,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":298927453,"discretionary":295251165,"discretionaryAccounts":882,"nonDiscretionary":3676288,"nonDiscretionaryAccounts":9,"wrapProgram":null,"nonUsClientsPct":1,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":300,"regulatoryAum":161129652},{"label":"High-net-worth individuals","clients":41,"regulatoryAum":137773445},{"label":"Corporations and other businesses","clients":1,"fewerThan5":true,"regulatoryAum":24356}],"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=1060722","versionId":1060722,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-10-09","documentName":"DOVETAIL FINANCIAL GROUP LLC ADV PART 2A","fee_rate_low":0.75,"fee_rate_high":1.25,"fee_negotiable":true,"minimum_account":500000,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Consulting Services","summary":"Consulting services are billed hourly at $300 per hour, or as a fixed fee with a $1,000 minimum for specific engagements; the lesser of $1,250 or 50% of the anticipated fee is due up front.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1060722","versionId":1060722,"submittedOn":"2026-10-09","documentName":"DOVETAIL FINANCIAL GROUP LLC ADV PART 2A"},{"role":"other","program":"Financial Planning Services","summary":"Financial planning is billed hourly at $300 per hour, or as a fixed fee with a $2,500 minimum, billed quarterly in advance or in arrears.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1060722","versionId":1060722,"submittedOn":"2026-10-09","documentName":"DOVETAIL FINANCIAL GROUP LLC ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T10:57:00.103165+00:00","documents":[{"name":"DOVETAIL FINANCIAL GROUP LLC ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1060722","versionId":1060722,"submittedOn":"2026-10-09"}]},"custodians":[{"name":"Raymond James & Associates, Inc.","shortName":"Raymond James","location":"St. Petersburg, FL","smaAssets":197591804},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":82477324}],"custodyNote":"Dovetail Financial Group has custody of $414K in client assets for 3 clients.","otherCustodians":[],"leadership":[{"name":"Guy Dowdy","title":"Chief Compliance Officer","crd":"2615718"}],"ownership":[{"label":"The Marino Group, Inc.","detail":"Privately owned company in the 75% or more ownership band and a control person, since August 2020."},{"label":"Ross Marino","detail":"Indirect owner: a co-owner of The Marino Group, Inc. in the 50% to 75% band and a control person, since August 2020.","parent":"The Marino Group, Inc."},{"label":"Jocelyne Marino","detail":"Indirect owner: a co-owner of The Marino Group, Inc. in the 50% to 75% band and a control person, since August 2020.","parent":"The Marino Group, Inc."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Georgia","offices":1,"addresses":[{"street":"6340 Sugarloaf Pkwy","city":"Duluth"}]},{"state":"North Carolina","offices":1,"addresses":[{"street":"210-4 Avondale Ave","city":"Wilmington","headquarters":true}]}],"brochureServices":["estate planning","insurance","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"910-395-1991","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":17},{"label":"U.S. government/agency bonds","percent":2},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":74},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":1},{"label":"Cash and cash equivalents","percent":4}],"privateFunds":0},"sources":{"adv1FilingDate":"11 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/311298/PDF/311298.pdf","brochureDate":"9 October 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1060722","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 Dovetail Financial Group have?","answer":"Dovetail Financial Group has 342 clients and manages $299 million for them, as of June 2026. They include 300 individual clients, 41 high-net-worth individuals and 1 corporate or other business client.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 11 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Dovetail Financial Group offer?","answer":"Dovetail Financial Group provides financial planning, portfolio management for individuals and small businesses, estate 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 Dovetail Financial Group charge?","answer":"Dovetail Financial Group charges 0.75%–1.25% a year for its Portfolio Management Services. The fee is billed in advance, is negotiable and requires an account of at least $500,000.","source":"DOVETAIL FINANCIAL GROUP LLC ADV PART 2A, filed 9 October 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Dovetail Financial Group use?","answer":"Dovetail Financial Group’s separately managed account assets are held at Raymond James & Associates, Inc. (St. Petersburg, FL), with $198M and Charles Schwab & Co., Inc. (Westlake, TX), with $82.5M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 11 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Dovetail Financial Group have?","answer":"Dovetail Financial Group has 3 investment adviser representatives registered with state securities authorities, out of 6 employees, and 3 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 Dovetail Financial Group invest in?","answer":"At the end of its last fiscal year, Dovetail Financial Group’s separately managed accounts held 74% registered funds (mutual funds, ETFs, BDCs), 17% exchange-traded equities, 4% cash and equivalents, 2% U.S. government and agency bonds, 1% state and local bonds, 1% investment grade corporate bonds and 1% pooled vehicles (private funds and similar).","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":"Does Dovetail Financial Group have a minimum investment?","answer":"Yes, Dovetail Financial Group’s minimum account size for its Portfolio Management Services is $500K.","source":"DOVETAIL FINANCIAL GROUP LLC ADV PART 2A, filed 9 October 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Dovetail Financial Group?","answer":"Dovetail Financial Group is owned through a holding company by Ross and Jocelyne Marino. Its direct owner is the Marino Group, Inc. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 11 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Dovetail Financial Group get paid?","answer":"Dovetail Financial Group is paid through a percentage of assets under management, hourly charges 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 Dovetail Financial Group?","answer":"Dovetail Financial Group’s main office is at 210-4 Avondale Ave, Wilmington, NC 28403-7059. Its phone number is 910-395-1991. Its website is dovetailfin.com.","source":"Form ADV Part 1A, Item 1.F, filed 11 June 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."}