DV Equities

Broker-DealerFINRA MemberEst. 2021
Total AUM
Advisory reps
29
Avg account
$0

Firm details

Headquarters
Chicago, Illinois
CRD number
312688
Registered since
July 6, 2021

Firm profile

FINTRX

Overview

DV Equities is organized as a limited liability company and has been SEC-registered since 2021. Public filings classify the firm as unclassified and identify the owner type as a mix of a domestic entity and an individual. Filings indicate the firm is not positioned as a capital allocator, is not an active ESG investor, does not operate across multiple states as an adviser, and does not describe itself as a pension consultant or related adviser. Public disclosures about its business model, client mix, fee structure and advisory activities are limited; the firm’s visible footprint comes primarily from its public-equity filings.

Assets & Accounts

Public Holdings

Investments & Alternatives

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

3 of 3
  • Augustine Perrotta

    Augustine Perrotta

    Chief Compliance OfficerCRD 5039996

  • Shifra Katz

    Chief Compliance OfficerCRD 7166902

  • Richard Horgan

    Chief Financial OfficerCRD 6697860

Contacts

3 of 26
  • Max Anderson

    Max Anderson

    TraderCRD 8288940

  • Merrick Wong

    TraderCRD 7301493

  • Eric Carlino

    Eric Carlino

    PrincipalCRD 2898311

Unlock 23 more contacts

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 24

Active vs passive

$291M in ETFs

Passive

99%

$287M

Active

0%

$4.1M

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES CORE MSCI EMERGING MARKETS ETF (IEMG)BlackRockPassiveDiversified Emerging Mkts$112M1,347,85738.39%

Location

Primary office

Chicago, IL

Cook

Location

Chicago, IL

Headquartered in Chicago, IL, anchoring the Chicago-Naperville, IL-IN-WI metro in the Midwest.

Metro area
Chicago-Naperville, IL-IN-WI
Region
Midwest
County
Cook
Address
425 S Financial Pl
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth