Dumont & Blake Investment Advisors provides portfolio management for individuals and small businesses.
Dumont & Blake Investment Advisors reports 439 clients. They include 223 individual clients, 205 high-net-worth individuals and 7 charitable organizations. Of its assets, 96.8% ($544M across 801 accounts) are managed with discretion; $18.1M across 57 accounts are not. A wrap fee program the firm both sponsors and manages holds $1.94M.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 51% | 15% |
| High-net-worth individuals | 47% | 82% |
| Banking or thrift institutions | 0% | 0% |
| Pension and profit-sharing plans | 0% | 0% |
| Charitable organizations | 2% | 2% |
| Other client typesState or municipal government entities; Other investment advisers; Insurance companies; Sovereign wealth funds and foreign official institutions; Corporations and other businesses | <1% | <1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 223 | $85.3M | 15.2% | $383K |
| High-net-worth individuals | 205 | $463M | 82.4% | $2.26M |
| Banking or thrift institutions | Fewer than 5 | $0 | 0.0% | — |
| Pension and profit-sharing plans | Fewer than 5 | $0 | 0.0% | — |
| Charitable organizations | 7 | $9.2M | 1.6% | $1.31M |
| State or municipal government entities | Fewer than 5 | $0 | 0.0% | — |
| Other investment advisers | Fewer than 5 | $0 | 0.0% | — |
| Insurance companies | Fewer than 5 | $0 | 0.0% | — |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 | $0 | 0.0% | — |
| Corporations and other businesses | Fewer than 5 | $4.36M | 0.8% | $1.09M |
| Total | 439 | $562M | 100% | — |
- Clients
- 223
- Regulatory AUM
- $85.3M
- AUM share
- 15.2%
- Avg. per client
- $383K
- Clients
- 205
- Regulatory AUM
- $463M
- AUM share
- 82.4%
- Avg. per client
- $2.26M
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- 7
- Regulatory AUM
- $9.2M
- AUM share
- 1.6%
- Avg. per client
- $1.31M
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $4.36M
- AUM share
- 0.8%
- Avg. per client
- $1.09M
Total
- Clients
- 439
- Regulatory AUM
- $562M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 0
Dumont & Blake Investment Advisors is paid through a percentage of assets under management and fixed fees (other than subscription fees). The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure.
Morley Goldberg owns 75% or more of Dumont & Blake Investment Advisors. The leadership team of Dumont & Blake Investment Advisors includes President Morley Goldberg. It has 8 employees, 4 of them in advisory roles.
Leadership
Morley GoldbergPresident/ Chief Compliance Officer
Investment adviser representatives
3 representatives listed in the SEC register as of 9 October 2026.
Staff
- 8 employees
- 4 in advisory functions
- 3 state-registered reps
- 1 insurance agent
- 1 soliciting firm
- Owns 75% or more of Dumont & Blake Investment Advisors LLC
Morley Goldberg
Control person · since August 1999
Dumont & Blake Investment Advisors’ regulatory assets grew from $426M (March 2021) to $562M (March 2026); clients rose from 370 to 439 and employees were 8 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $562M | 439 | 8 | 1 |
| April 2025 | $541M | 450 | 8 | 1 |
| June 2024 | $490M | 436 | 8 | 1 |
| March 2023 | $449M | 439 | 8 | 1 |
| March 2022 | $504M | 381 | 8 | 1 |
| March 2021 | $426M | 370 | 8 | 1 |
Besides its headquarters, Dumont & Blake Investment Advisors has 0 offices, with 1 listed address in New Jersey.
New Jersey · 1 listed address
- 731 Alexander Road, Suite 301, PrincetonHQ
Contact and registration details
- Legal name
- Dumont & Blake Investment Advisors LLC
- Headquarters
- 731 Alexander Road, Suite 301, Princeton, NJ 08540
- Website
- dumontandblake.com
- Phone
- 609-514-1899
- SEC file
- 801-56824
- Founded
- 1999
- Structure
- New Jersey LLC
- Fiscal year end
- December
Dumont & Blake Investment Advisors uses Charles Schwab ($522M) as custodian for its separately managed accounts. Dumont & Blake Investment Advisors has custody of $8.9K in client assets for 1 client.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $522M100%
At year end, Dumont & Blake Investment Advisors’ separately managed accounts were mostly in stocks (77%) and bonds (14%). Its reported 13F holdings for the quarter ended 30 June 2026 total $445M across 204 positions; the largest are SPDR S&P 500 ETF Trust (9.1%), Invesco Qqq Trust Series 1 (5.6%) and Apple Inc. (4.3%).
What the accounts hold
- Stocks77%
- Bonds14%
- U.S. government and agency bonds10%
- State and local bonds2%
- Investment grade corporate bonds2%
- Cash8%
Filed values cover 99%. The neutral 1% gap has no reported category.
Reported 13F holdings
- $445M
- Reported 13F value
- 204
- Positions
- 36.0%
- In the 10 largest
- +11.3%
- Value vs. prior quarter
- SPDR S&P 500 ETF Trust · Ind9.1%
- Invesco Qqq Trust Series 1 · Ind5.6%
- Apple Inc.4.3%
- Invesco S&P 500 Equal Weight E · Ind3.8%
- SPDR S&P Midcap 400 ETF Trust · Ind2.7%
- Schwab S&P 500 Index Fund · Ind2.4%
- Microsoft Corp.2.3%
- iShares DJ Select Dividend IndETF2.1%
- iShares Russell 2000 Index Fun · Ind1.9%
- Alphabet Inc. CL A1.7%
Together, the ten largest are 36.0% of reported value.
How many clients does Dumont & Blake Investment Advisors have?
Dumont & Blake Investment Advisors has 439 clients and manages $562 million for them, as of March 2026. They include 223 individual clients, 205 high-net-worth individuals and 7 charitable organizations.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026
What services does Dumont & Blake Investment Advisors offer?
Dumont & Blake Investment Advisors provides portfolio management for individuals and small businesses.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Dumont & Blake Investment Advisors use?
Dumont & Blake Investment Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $522M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026
How many financial advisors does Dumont & Blake Investment Advisors have?
Dumont & Blake Investment Advisors has 3 investment adviser representatives registered with state securities authorities, out of 8 employees, and 4 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
What does Dumont & Blake Investment Advisors invest in?
At the end of its last fiscal year, Dumont & Blake Investment Advisors’ separately managed accounts held 77% exchange-traded equities, 10% U.S. government and agency bonds, 8% cash and equivalents, 2% state and local bonds and 2% investment grade corporate bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Dumont & Blake Investment Advisors?
Dumont & Blake Investment Advisors’ direct owner is Morley Goldberg (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 31 March 2026
How does Dumont & Blake Investment Advisors get paid?
Dumont & Blake Investment Advisors 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
Is Dumont & Blake Investment Advisors registered with the SEC?
Yes, Dumont & Blake Investment Advisors has been registered with the SEC as an investment adviser since 3 September 1999. Its CRD number is 109318 and its SEC file number is 801-56824.
Source: Form ADV Part 1A, Item 1, filed 31 March 2026; IAPD firm record
How do I contact Dumont & Blake Investment Advisors?
Dumont & Blake Investment Advisors’ main office is at 731 Alexander Road, Suite 301, Princeton, NJ 08540. Its phone number is 609-514-1899. Its website is dumontandblake.com.