DFS ADVISORY

Overview

DFS Advisory is an independent, owner-operated registered investment adviser that positions itself as a capital allocator for both high-net-worth individuals/families and smaller institutional clients. The firm provides financial planning, portfolio management for individuals and small businesses, pension consulting and selection-of-advisers services. Its fee model is a mix of percentage-of-AUM, hourly charges and fixed fees, allowing flexibility across planning engagements and discretionary portfolio mandates. Investment emphasis tilts toward equities: the firm reports a clear preference for exchange-traded equities as its primary asset type. DFS Advisory engages third-party managers when appropriate (it identifies itself as a capital allocator) and also takes roles as an insurance company sponsor, general partner and managing member of pooled investment vehicles, indicating an operational involvement in pooled or private structures in addition to advisory duties. The firm is not an active ESG investor and is not set up as a multi-state adviser.

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Location & Offices