D
D & P Investment Advisors, Ltd.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$197,759,856
This total excludes 19 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Total clients
228
25% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
228
Average account size
$867,368
About
D & P provides financial planning, consulting, and investment management to individual investors as well as to institutional-type clients including pension and profit‑sharing plans, trusts, estates, charitable organizations, and corporations or business entities. The brochure describes retirement and education planning, recommendations for variable life/annuity products, and advice on employer‑sponsored retirement plans as part of its service offerings.
The firm manages client assets on a non‑discretionary basis and tailors asset allocations after assessing each client’s risk tolerance and time horizon. Its stated process combines fundamental and technical analysis to recommend diversified, “best of breed” portfolios using mutual funds, ETFs, individual equities and fixed income, with periodic monitoring and consideration of tax planning and the use of margin when authorized.
The adviser is affiliated with a certified public accounting firm; the brochure discloses cross‑referral arrangements, the principal’s ownership interest in that CPA firm, and that the principal expects to spend approximately 35% of his time with the accounting practice. The firm also reports an unusually large client roster (about 225 clients) relative to its reported size and AUM and highlights a client mix that includes corporate/business clients and pension/profit‑sharing plans, which the brochure presents alongside its individual client services.
Client services
Financial planning
Portfolio management
Pension consulting
Expertise
General retirement planning
College savings (529s, UTMA, etc.)
Fee options
1.00% annually
$270 to $300 per hour
Minimum fee: In limited circumstances, an annual fixed fee up to $20,000, prorated and charged quarterly
Main office location
D & P Investment Advisors, Ltd.
10 High Street, Suite B
Wakefield RI 02879, United States
Number of offices
2
Most active in
D & P Investment Advisors, Ltd. has reported serving >5 clients in these states in the last 12 months.
Florida · Massachusetts · New Hampshire · Rhode Island · 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 active or affiliated with:
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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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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.
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