D
DFG Investments and Tax LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$2,705,906
Clients
22
0% 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
22
TypicalAverage account size
$122,996
About
DFG Investments and Tax LLC provides ongoing portfolio management and financial planning to individuals (including high‑net‑worth clients), pension and profit‑sharing plans, charitable organizations, and business entities. Services include creating written investment policy statements, monitoring portfolios, and advising on sector‑diversified individual equity strategies as well as mutual funds, ETFs, REITs, fixed income, and insurance products.
The firm’s investment approach relies on long‑term trading informed by cyclical and fundamental analysis and modern portfolio theory, with client accounts reviewed at least monthly and recommendations documented in each client’s IPS. DFG Investments and Tax operates primarily on a non‑discretionary basis—advice is provided but the firm does not accept trading discretion over client accounts—and requires clients to custody assets with specified custodians, from which it receives research and service benefits.
Noteworthy for a one‑advisor independent firm, the principal maintains active roles in the insurance business and in accounting services, and the brochure discloses these affiliations and how related conflicts are handled and documented. The firm reports virtually all assets as non‑discretionary, does not participate in wrap fee programs, and does not accept performance‑based fees.
Client services
Financial planning
Portfolio management
Expertise
Wealth management
College savings (529s, UTMA, etc.)
Annuities
Fee options
Fixed fees for financial planning services between $1,000 and $3,000
$1 - $250,000: 1.30% $250,001 - $500,000: 1.20% $500,001 - $1,000,000: 1.10% $1,000,001 - $2,000,000: 1.00% $2,000,001 - $3,000,000: 0.80% $3,000,001 - and up: 0.50%
Insurance product commissions accepted by supervised persons (insurance agent activity)
Hourly fees for financial planning services between $150 and $350
Fee-only: Financial planning fixed fees between $1,000 and $3,000; hourly fees between $150 and $350 per hour
Main office location
DFG Investments and Tax LLC
525 Kilauea Ave, Suite 240
Hilo HI 96720, United States
Number of offices
1
Most active in
DFG Investments and Tax LLC has reported serving >5 clients in these states in the last 12 months.
Hawaii
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:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
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.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
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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