D
DFFA, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$0
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
0
Very LowAverage account size
—
About
DFFA, LLC operates as a co‑adviser alongside an SEC‑registered investment adviser to serve retirement plan sponsors, trusts, and high‑net‑worth households through wealth management programs, financial planning, trust advisory and pension consulting. The firm does not execute day‑to‑day portfolio management itself; investment implementation, custody and trading are handled by its co‑adviser and by independent managers selected for clients.
In practice DFFA focuses on client onboarding, financial planning, fiduciary retirement plan consulting, trustee support, independent manager selection, and asset tracking/performance reporting while delegating discretionary management to its co‑adviser and third‑party managers. It coordinates recommendations with other professionals and uses model portfolios and account‑level implementations provided by its co‑adviser, maintaining ongoing monitoring and compliance review for co‑clients.
What distinguishes the firm from many peers is its accounting heritage and professional credentials (including CPA and Personal Financial Specialist qualifications), which it uses to integrate tax and cash‑flow analysis into planning, trust and pension work. The firm’s documented emphasis on ERISA‑focused pension consulting and formal selection/monitoring of other advisers, combined with its operating model as a referring/co‑advisory entity rather than a primary asset manager, is atypical for firms in this category.
Client services
Financial planning
Portfolio management
Pension consulting
Selection of other advisers
Expertise
Equity compensation tax strategy
Charitable giving & philanthropy
Business succession planning
Tax-loss harvesting
Retirement plans for business owners (SEP, solo 401k)
Occupation focus
Founder/Business Owner
Executive
Demographic focus
Approaching retirement
Mid-Career Professionals
Established Professionals
Fee options
Account minimum: $250,000 Minimum fee: Minimum annual fees vary by program, e.g., Formal Wealth Management Programs start at $250,000 investable assets for Compass Program; specific minimum annual fees are detailed in Pinnacle’s ADV Part 2 Disclosure Brochure. Fee-only: Financial planning fees are charged; Co-Advisor receives 25% of financial planning fees from Pinnacle.
Main office location
DFFA, LLC
Mentor OH, United States
Number of offices
1
Most active in
DFFA, LLC has reported serving >5 clients in these states in the last 12 months.
Ohio
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.
-
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.
Forms ADV
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