D. Moss Wealth Management
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$25,104,056
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Total clients
15
60% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
15
Average account size
$1,673,604
About
D. Moss Wealth Management is an independent, single-advisor registered investment adviser that provides ongoing portfolio management and financial planning to individuals, high-net-worth households, and small businesses. The firm manages roughly $25.1 million for a small number of clients and advises across mutual funds, ETFs, equities, fixed income, real estate funds, options, private placements and treasury inflation-protected bonds.
The firm documents client objectives and constraints in an Investment Policy Statement and typically operates with discretionary trading authority, tailoring portfolios to clients’ tax situations, time horizons and risk tolerances. Its investment process combines multiple methods — cyclical, fundamental, quantitative, technical and modern portfolio theory — and deploys long-term strategies alongside options trading (including covered, uncovered and spread strategies).
Noteworthy features include a relatively small client base with high assets per client and the use of less-common, higher-risk instruments for a firm of this size, such as uncovered options, commodity ETFs, interval funds and private placements. The brochure also discloses a custodial relationship with a single institutional custodian that provides research, technology and other benefits to the firm, which can create soft-dollar considerations for clients.
Client services
Financial planning
Portfolio management
Expertise
Options & derivatives strategies
Private / alternative investments
Real estate investing
Fee options
Between $2,000 and $7,500 for financial planning
$0 - $499,999: 1.20% $500,000 - $2,999,999: 0.90% $3,000,000 - $4,999,999: 0.80% $5,000,000 - And Up: 0.70%
Account minimum: $250,000 (may be waived at discretion)
Main office location
D. Moss Wealth Management
West Hollywood CA, United States
Number of offices
1
Most active in
D. Moss Wealth Management has reported serving >5 clients in these states in the last 12 months.
California · Massachusetts · Texas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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