D
DJ Financial
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$13,364,364
Clients
18
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
18
LowAverage account size
$742,465
About
The firm provides discretionary investment supervision and portfolio management for individual investors and their related accounts, including trusts, estates, IRAs and 401(k) plans, using equity securities, corporate bonds and pooled investment vehicles. It also accepts small employer pension and profit-sharing plans and works with certain corporate or business clients, in addition to serving individual retail clients.
Investment decisions are guided by a comprehensive financial planning process that documents client goals and risk tolerance and emphasizes lower‑cost investment alternatives, a longer‑term outlook and limited trading. Portfolios combine income and growth strategies via mutual funds, exchange‑traded funds and select individual bonds, with periodic rebalancing and quarterly reviews to monitor appropriateness.
The firm’s principal is a licensed certified public accountant who also provides tax research, planning, compliance and management accounting services, and some tax or consulting clients may not be advisory clients of the firm — a service mix that is uncommon among solo independent advisors. The combination of CPA tax services, service to employer retirement plans and occasional corporate clients distinguishes the firm from many peers that focus solely on retail portfolio management.
Client services
Financial planning
Portfolio management
Expertise
General retirement planning
Wealth management
Income planning
Tax strategies for small businesses
Occupation focus
Founder/Business Owner
Fee options
.10% to 1.5% depending on asset size and anticipated services required
$125 per hour
Main office location
DJ Financial
1929 Ne Diamond Lake Blvd #105
Roseburg OR 97470, United States
Number of offices
1
Most active in
DJ Financial has reported serving >5 clients in these states in the last 12 months.
Oregon
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.
Forms ADV
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