{"url":"https://nivawealth.com/firms/dumaine-investments-306481","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/306481","regulatoryAum":226991557,"crd":"306481","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5900154","suffix":null,"lastName":"BORDELON","firstName":"MITCHELL","middleName":"ROBERT"},{"crd":"4570732","suffix":null,"lastName":"FAVROT","firstName":"CLIFFORD","middleName":"FRERET"}],"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":"2021-03-31","regulatoryAum":142223282,"clients":92,"employees":4,"offices":1},{"filedOn":"2022-03-31","regulatoryAum":205175450,"clients":103,"employees":4,"offices":1},{"filedOn":"2023-03-28","regulatoryAum":199656318,"clients":113,"employees":4,"offices":1},{"filedOn":"2024-03-27","regulatoryAum":197957070,"clients":104,"employees":4,"offices":1},{"filedOn":"2025-03-24","regulatoryAum":204054910,"clients":141,"employees":4,"offices":1},{"filedOn":"2026-03-24","regulatoryAum":226991557,"clients":156,"employees":4,"offices":1}],"secFileNumber":"801-117762","legalName":"Dumaine Investments LLC","displayName":"Dumaine Investments","slug":"dumaine-investments-306481","website":"https://dumaineinvestments.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/306481/94e71b873acd8ac8-r1.webp","tone":"light","width":883,"height":200,"sourceUrl":"https://dumaineinvestments.com/","sourceLabel":"Dumaine Investments LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/dumaineinvestments/","founded":null,"organization":"Louisiana limited liability company","fiscalYearEnd":"December","headquarters":{"street":"650 Poydras Street, Suite 1010","city":"New Orleans","state":"LA","stateName":"Louisiana","country":"United States","postalCode":"70130-6101"},"tradeNames":[],"registration":{"secApproved":"10 December 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Services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025228","versionId":1025228,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-24","documentName":"DUMAINE INVESTMENTS FORM ADV PART 2A BROCHURE","fee_rate_low":0.4,"fee_rate_high":1.15,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Hourly Financial Consulting","summary":"Financial consulting is negotiated but typically billed at $300 an hour.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025228","versionId":1025228,"submittedOn":"2026-03-24","documentName":"DUMAINE INVESTMENTS FORM ADV PART 2A BROCHURE"},{"role":"other","program":"Wealth Advisory Services","summary":"Non-discretionary wealth advisory for private placements and DSTs: an initial percentage fee of 0.70% to 1.85%, then an ongoing fee of 0.15% to 0.70% per annum.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025228","versionId":1025228,"submittedOn":"2026-03-24","documentName":"DUMAINE INVESTMENTS FORM ADV PART 2A BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T16:31:01.01437+00:00","documents":[{"name":"DUMAINE INVESTMENTS FORM ADV PART 2A BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025228","versionId":1025228,"submittedOn":"2026-03-24"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":182345650}],"custodyNote":"Dumaine Investments has custody of $560K for 1 clients.","otherCustodians":[],"leadership":[{"name":"Clifford Favrot","title":"President/Chief Compliance Officer","crd":"4570732"}],"ownership":[{"label":"Clifford Favrot","detail":"President/chief compliance officer in the 75% or more ownership band and a control person, since November 2019."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Louisiana","offices":1,"addresses":[{"street":"650 Poydras Street, Suite 1010","city":"New Orleans","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"504-521-7350","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","Publication of periodicals or newsletters","Other"],"financialPlanningClients":"11-25","assetMix":[{"label":"Exchange-traded equity securities","percent":30},{"label":"U.S. government/agency bonds","percent":4},{"label":"U.S. state and local bonds","percent":2},{"label":"Investment grade corporate bonds","percent":17},{"label":"Securities issued by registered investment companies or business development companies","percent":16},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":24},{"label":"Cash and cash equivalents","percent":7}],"privateFunds":0},"sources":{"adv1FilingDate":"24 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/306481/PDF/306481.pdf","brochureDate":"24 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025228","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 Dumaine Investments have?","answer":"Dumaine Investments has 156 clients and manages $227 million for them, as of March 2026. They include 81 individual clients, 52 high-net-worth individuals and 13 other clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Dumaine Investments offer?","answer":"Dumaine Investments provides financial planning, portfolio management for individuals and small businesses, and publishing newsletters.","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 Dumaine Investments charge?","answer":"Dumaine Investments charges 0.40%–1.15% a year for its Portfolio Management Services. The fee is billed in advance and is negotiable.","source":"DUMAINE INVESTMENTS FORM ADV PART 2A BROCHURE, filed 24 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Dumaine Investments use?","answer":"Dumaine Investments’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $182M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 24 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Dumaine Investments have?","answer":"Dumaine Investments has 2 investment adviser representatives registered with state securities authorities, out of 4 employees, and 2 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 Dumaine Investments invest in?","answer":"At the end of its last fiscal year, Dumaine Investments’ separately managed accounts held 30% exchange-traded equities, 24% pooled vehicles (private funds and similar), 17% investment grade corporate bonds, 16% registered funds (mutual funds, ETFs, BDCs), 7% cash and equivalents, 4% U.S. government and agency bonds 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 Dumaine Investments?","answer":"Dumaine Investments’ direct owner is Clifford Favrot (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Dumaine Investments get paid?","answer":"Dumaine Investments 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 Dumaine Investments?","answer":"Dumaine Investments’ main office is at 650 Poydras Street, Suite 1010, New Orleans, LA 70130-6101. Its phone number is 504-521-7350. Its website is dumaineinvestments.com.","source":"Form ADV Part 1A, Item 1.F, filed 24 March 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."}