D
Dalton Financial LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$49,795,983
Clients
67
18% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
67
Very HighAverage account size
$743,224
About
Dalton Financial LLC provides personal financial planning and discretionary investment management primarily to individuals, families, trusts, estates and closely held businesses. As of January 6, 2026 the brochure reports approximately $50 million in assets under management across a limited number of client relationships, and the firm integrates financial planning with ongoing investment oversight.
The firm’s investment approach emphasizes strategic asset allocation over a three- to five-year horizon, using index-based ETFs and low-cost mutual funds as core holdings while selectively incorporating actively managed funds or individual securities where a differentiated risk‑reward case exists. Dalton Financial employs fundamental security analysis and a mix of public and subscription research sources and generally manages client accounts on a discretionary basis tailored to each client’s cash flow, liquidity and risk‑tolerance profile.
Distinctive operational features noted in the brochure include a fee-only compensation policy with an explicit statement that the firm does not accept commissions, referral fees or soft-dollar benefits, and a practice of not voting client proxies. The firm also documents advisor qualification standards, maintains a formal business continuity plan (including plans for key-person contingency), and generally executes trades on an account-by-account basis rather than routinely aggregating orders.
Client services
Financial planning
Portfolio management
Expertise
General retirement planning
Cash flow / budgeting
Occupation focus
Founder/Business Owner
Fee options
Financial planning fees with a minimum initial fee of $500; billed half at engagement and balance upon plan completion or within 6 months; annual flat fees billed quarterly, semi-annually, or annually if less than $500
$0 - $2,000,000: 1.00% $2,000,001 - $5,000,000: 0.75% $5,000,001+: 0.50% (negotiable above $5 million)
Hourly planning or investment analysis services at $200/hour (rate negotiable)
Account minimum: No specific minimum asset value required to open an account; minimum fees may apply making some accounts impractical Minimum fee: Minimum annual investment management fee of $1,250 (may be negotiable) Fee-only: Fee-only financial planning and investment management; no commissions accepted
Main office location
Dalton Financial LLC
Charlotte NC, United States
Number of offices
1
Most active in
Dalton Financial LLC has reported serving >5 clients in these states in the last 12 months.
North Carolina
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:
-
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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