DSA Asset Management, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$7,000,000
Clients
19
26% 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
19
LowAverage account size
$368,421
About
DSA Asset Management provides discretionary portfolio management and financial planning to individuals (including high-net-worth clients) and to corporations or other businesses. The firm offers advice across a wide range of investments, including equities, fixed income, mutual funds and exchange-traded funds, as well as options, derivatives, structured products, REITs and limited partnerships.
Advisory services are tailored to each client’s objectives and typically include an initial analysis, ongoing monitoring and portfolio rebalancing guided by Investment Policy Statements and risk-evaluation questionnaires. The firm describes using multiple methods of analysis—fundamental, technical, cyclical and Modern Portfolio Theory—and may employ long- or short-term trading, option strategies and other active techniques when suitable for a client’s stated risk tolerance.
A notable distinction is that DSA discloses serving both individual and institutional/corporate clients, an offering that is less common among similar independent advisers. The firm participates in the TD Ameritrade Institutional program and commonly directs brokerage to that custodian, receiving research and practice-support benefits the brochure notes could create potential conflicts of interest; proxy voting, meanwhile, is left to clients.
Client services
Financial planning
Portfolio management
Expertise
Options & derivatives strategies
Real estate investing
Fee options
Fixed fees between $500 and $4,500 for financial planning and consulting services
3% annually (0.25% monthly fee)
$75 per hour
Account minimum: $10,000 Fee-only: Fixed fees range from $500 to $4,500; hourly fee is $75 per hour
Most active in
DSA Asset Management, LLC has reported serving >5 clients in these states in the last 12 months.
Arizona
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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