{"url":"https://nivawealth.com/firms/dwv-advisors-154148","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/154148","regulatoryAum":156605177,"crd":"154148","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5813766","suffix":null,"lastName":"VOIGT","firstName":"DENNIS","middleName":"WILLIAM"}],"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":"2021-03-18","regulatoryAum":123708162,"clients":12,"employees":2,"offices":1},{"filedOn":"2022-07-01","regulatoryAum":130119511,"clients":11,"employees":2,"offices":1},{"filedOn":"2023-03-03","regulatoryAum":116755029,"clients":10,"employees":1,"offices":1},{"filedOn":"2024-03-11","regulatoryAum":106043423,"clients":11,"employees":1,"offices":1},{"filedOn":"2025-07-31","regulatoryAum":148371642,"clients":15,"employees":1,"offices":1},{"filedOn":"2026-06-25","regulatoryAum":156605177,"clients":15,"employees":1,"offices":1}],"secFileNumber":"801-76788","legalName":"DWV Advisors, LLC","displayName":"DWV Advisors","slug":"dwv-advisors-154148","website":"https://dwvadvisors.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/154148/aba1c08ad3e18230-r1.webp","tone":"light","width":513,"height":200,"sourceUrl":"https://dwvadvisors.com","sourceLabel":"DWV Advisors, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/dwv-advisors/","xUrl":"https://x.com/DWVAdvisors","founded":null,"organization":"Vermont limited liability company","fiscalYearEnd":"December","headquarters":{"street":"76 Pearl St, Suite 205","city":"Essex Junction","state":"VT","stateName":"Vermont","country":"United States","postalCode":"05452"},"tradeNames":[],"registration":{"secApproved":"14 June 2012","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":10440345.133333333,"staff":{"employees":1,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":156605177,"discretionary":156605177,"discretionaryAccounts":55,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":9,"regulatoryAum":5880111},{"label":"High-net-worth individuals","clients":6,"regulatoryAum":150725066}],"feePrograms":[{"role":"main","program":"Wealth Management Services","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1042758","versionId":1042758,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-04-24","documentName":"ADV FORM 2A","fee_rate_low":null,"fee_rate_high":0.8,"fee_negotiable":true,"minimum_account":250000,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T14:09:37.413868+00:00","documents":[{"name":"ADV FORM 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1042758","versionId":1042758,"submittedOn":"2026-04-24"}]},"custodians":[{"name":"Fiduciary Trust","shortName":"Fiduciary Trust","location":"Boston, MA","smaAssets":31993950},{"name":"US Trust","shortName":"US Trust","location":"Dallas, TX","smaAssets":16184057},{"name":"Interactive Brokers LLC","shortName":"Interactive Brokers","location":"Greenwich, CT","smaAssets":19854385},{"name":"State Street Bank and Trust Company","shortName":"State Street Bank and Trust","location":"Boston, MA","smaAssets":73127865}],"custodyNote":"DWV Advisors does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Dennis Voigt","title":"Managing Member/Chief Compliance Officer","crd":"5813766"}],"ownership":[{"label":"Dennis Voigt","detail":"Managing member/chief compliance officer in the 75% or more ownership band and a control person, since August 2009."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Vermont","offices":1,"addresses":[{"street":"76 Pearl St, Suite 205","city":"Essex Junction","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"802-879-3766","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"11-25","assetMix":[{"label":"Exchange-traded equity securities","percent":34},{"label":"U.S. government/agency bonds","percent":10},{"label":"Investment grade corporate bonds","percent":8},{"label":"Securities issued by registered investment companies or business development companies","percent":12},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":3},{"label":"Cash and cash equivalents","percent":13},{"label":"Other","percent":20,"detail":"Real Estate Investment Trusts, Timberland, and Other Unclassified"}],"privateFunds":0},"sources":{"adv1FilingDate":"25 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/154148/PDF/154148.pdf","brochureDate":"24 April 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1042758","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 DWV Advisors have?","answer":"DWV Advisors has 15 clients and manages $157 million for them, as of June 2026. They include 9 individual clients and 6 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 25 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does DWV Advisors offer?","answer":"DWV Advisors provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and selecting other managers.","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 DWV Advisors charge?","answer":"DWV Advisors charges up to 0.80% a year for its Wealth Management Services. The fee is billed in arrears, is negotiable and requires an account of at least $250,000.","source":"ADV FORM 2A, filed 24 April 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does DWV Advisors use?","answer":"DWV Advisors’ separately managed account assets are held at State Street Bank and Trust Company (Boston, MA), with $73.1M, Fiduciary Trust (Boston, MA), with $32M, Interactive Brokers LLC (Greenwich, CT), with $19.9M and US Trust (Dallas, TX), with $16.2M. 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 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does DWV Advisors have?","answer":"DWV Advisors 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 DWV Advisors invest in?","answer":"At the end of its last fiscal year, DWV Advisors’ separately managed accounts held 34% exchange-traded equities, 20% other, 13% cash and equivalents, 12% registered funds (mutual funds, ETFs, BDCs), 10% U.S. government and agency bonds, 8% investment grade corporate bonds and 3% pooled vehicles (private funds and similar). The 20% other category is described as: Real Estate Investment Trusts, Timberland, and Other Unclassified.","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 DWV Advisors have a minimum investment?","answer":"Yes, DWV Advisors’ minimum account size for its Wealth Management Services is $250K.","source":"ADV FORM 2A, filed 24 April 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns DWV Advisors?","answer":"DWV Advisors’ direct owner is Dennis Voigt (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 25 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does DWV Advisors get paid?","answer":"DWV Advisors 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":"How do I contact DWV Advisors?","answer":"DWV Advisors’ main office is at 76 Pearl St, Suite 205, Essex Junction, VT 05452. Its phone number is 802-879-3766. Its website is dwvadvisors.com.","source":"Form ADV Part 1A, Item 1.F, filed 25 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."}