Dubois Capital Management LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$70,000
Total clients
1
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
1
Average account size
$70,000
About
The firm provides discretionary asset management, financial planning and consulting, and public educational seminars and workshops to individual and business clients. It currently manages roughly $70,000 of client assets for one client and offers ongoing portfolio monitoring, trade execution, and regular client check-ins.
Investment decisions are tailored to each client’s stated goals, time horizon and risk tolerance and draw on both fundamental and technical analysis; strategies can range from long-term holdings to shorter-term trading and options when appropriate. The adviser may manage accounts directly or subscribe to third‑party model portfolios via its custodial platform, and conducts periodic (quarterly) reviews and ongoing monitoring.
Distinctive aspects include the firm’s routine offering of public seminars and workshops—an uncommon service among peer independent advisers—and its very small scale of operations. The firm also discloses that the owner devotes a substantial portion of time to an unrelated outside business (with no crossover clients) and that it may utilize third-party model providers whose fees and terms are disclosed to clients.
Client services
Financial planning
Portfolio management
Selection of other advisers
Educational seminars or workshops
Expertise
Options & derivatives strategies
College savings (529s, UTMA, etc.)
Tax-loss harvesting
Retirement income strategy
Fee options
Financial planning and consulting fees range from $500 to $5,000 based on complexity
up to 1.25% annually (negotiable based on various criteria)
Account minimum: $100,000 minimum (may be lowered or waived in certain instances) Fee-only: Asset management fees up to 1.25% annually; Fixed fees for financial planning $500-$5,000; Seminar fees $100 per person
Main office location
Dubois Capital Management LLC
Saratoga Springs NY, United States
Number of offices
1
Most active in
Dubois Capital Management LLC has reported serving >5 clients in these states in the last 12 months.
New York
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:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
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.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Not sure where to start?
We'll help you think it through – whether you ultimately need an advisor or not.
Warmer provides personalized recommendations and introductions to independent fiduciary advisors. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
Each advisor listed on our site is an independent fiduciary responsible for their own advice. Warmer may receive fees from advisors for participation or referrals; these fees are paid by advisors and do not affect the fees clients pay for advisory services.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Please review an advisor's Form ADV and do your own diligence before entering into an advisory relationship.
By using our service, you agree to Warmer's Terms of Service and Advisory Agreement and Privacy Policy. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. ("Warmer")