D
Dean Financial Advisory, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$36,869,426
Total clients
27
48% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
27
Average account size
$1,365,534
About
Dean Financial Advisory is a fee-only registered investment adviser that serves individual clients with discretionary portfolio management (the firm reports about 80% of its business as AUM) and complementary financial planning services, including retirement planning, estate planning, tax planning, and 401(k) advice. The brochure lists approximately $36.9 million in assets under management and a small client base of roughly two dozen clients, with no account minimums.
The firm’s investment process emphasizes macroeconomic monitoring and a mix of fundamental and technical analysis, with customized asset allocations determined after a client risk assessment and ongoing reviews; behavioral finance education is incorporated into client interactions. Portfolios are managed on a discretionary basis, with an emphasis on limiting trading costs, avoiding margin use and speculative strategies, and currently not employing options.
Distinctive features noted in the brochure include its role as a 3(21) fiduciary for retirement plans and an explicit transition plan to reduce its client roster and either merge with another RIA or transfer clients by the end of 2027. The firm also does not participate in wrap fee programs or third‑party asset managers, currently does not aggregate block trades or vote client proxies, and uses a major institutional custodian for account custody.
Client services
Financial planning
Portfolio management
Consulting
Expertise
College savings (529s, UTMA, etc.)
Equity Recipients (RS/RSU, SOP, ESPP)
Fee options
$0.01 - $2,500,000: 1.0% $2,500,001+: 0.5%
$125-$175 per hour, negotiable
Fee-only: Fee-only, no commissions or other fees except client fees for financial planning or asset management
Main office location
Dean Financial Advisory, LLC
Cincinnati OH, United States
Number of offices
1
Most active in
Dean Financial Advisory, LLC has reported serving >5 clients in these states in the last 12 months.
Ohio · 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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