Dove Investment Research And Management, Inc

CRD#300058
Investment Advisor Firm

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Overview

Dove Investment Research And Management, Inc is a financial advisory firm based in Irvine, California. It controls $53.0 million in assets across 485 customer accounts. Dove Investment Research And Management, Inc has a small team of one employee who is a financial advisor. Dove Investment Research And Management, Inc does not act as a registered broker-dealer, signifying that the company cannot buy and sell securities for its own accounts as well as its clients' and instead must go through a broker-dealer firm to do so. Securities are defined as exchangable financial assets such as bonds, options and equities.

Dove Investment Research And Management, Inc oversees 173 of the firm's accounts on a discretionary basis. Discretionary management is a structure in which an investment advisor has the discretion to make transaction judgments without requiring the customer's approval. It also administers 312 non-discretionary accounts with a total of $7.6 million in AUM. The advisory firm's typical account size is $109,366. $100,001 to $500,000 of their investments for financial planning services were in securities, with under $100,000 invested in non-securities. An average financial advisor at Dove Investment Research And Management, Inc administers about 485 client accounts.

Dove Investment Research And Management, Inc's headquarters is at 100 Pacifica, Irvine, California 92618. The company is allowed to serve clients across a number of states, including California and Texas.

Assets Under Management

$53.0 million

Number of Advisors

1

Disclosures

No

Office Location

100 Pacifica
Irvine, CA 92618

Dove Investment Research And Management, Inc by the Numbers

Total Assets Under Management

$53.0 million

National Average: $3.7 billion
Total Number of Employees

1

National Average: 29
Total Number of Accounts

485

National Average: 2,073
Average Account Size

$109.4 thousand

National Average: $1.8 million

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Products and Services

Dove Investment Research And Management, Inc provides a variety of financial services, which can include financial planning services, portfolio management for individuals and small businesses and selection of other advisers. In the last financial year, the company provided 1-10 of its clients with financial planning services. The company does not sell products or offer services apart from investment advisory services to its investment advisory customers. The firm is affiliated with one or more other service providers in the financial services industry, including with an insurance company or agency.

Core Advisor Services

  • Offered by 45% of firms

    Financial Planning Services

    This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

  • Offered by 62% of firms

    Portfolio Management

    This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

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    Market Timing Services

    This is the practice of attempting to make short-term profits on investments by buying low and selling high.

Other Services

  • Offered by 23% of firms

    Selection of Other Advisors

    This is the firm's assistance with choosing other advisors to work with who may have different specialties.

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    Publication of Periodicals

    This is the publication of various financial education materials.

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    Educational Seminars/Workshops

    This is the hosting of seminars or workshops to educate investors on financial concepts.

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Fee Structure

Financial management fees largely depend on the type of services offered. However, fee types charged by Dove Investment Research And Management, Inc may include the following fee types: asset-based, hourly or fixed. Wrap fee programs, or the practice of bundling services for a single fee, are not provided by the firm. The company can withdraw its charges directly from client funds.

Available

  • Offered by 74% of firms

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 35% of firms

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Offered by 40% of firms

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

Unavailable

  • Find one of the 2% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

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    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

  • Find one of the 1% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 12% of firms that offer this fee type

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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Types of Clients

It caters to retail investors and high net worth investors. Out of its 485 customers, Dove Investment Research And Management, Inc's largest client type is retail investors, though it also caters to 31 high-net-worth individuals. A high-net-worth individual is defined by the SEC as an individual who has at least $750,000 under management or a net worth of at least $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). Just 1% of its customers are non-U.S. persons.

  • High-Net-Worth Individuals* - 18.9%
  • Other Individuals - 81.1%
  • Corporations - 0%
  • Charitable Organizations - 0%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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Disclosures

Dove Investment Research And Management, Inc does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Dove Investment Research And Management, Inc

Thomas Graffeo
Irvine, CA

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This content was compiled from the SEC and FINRA