Pettus & Dawkins Financial Group, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$11,559,687
Clients
35
0% high-net worth
Advisors
1
of 2 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
35
TypicalAverage account size
$330,277
About
Pettus & Dawkins Financial Group, LLC is a small, registered investment adviser that provides discretionary portfolio management and financial planning to individual clients, including high-net-worth individuals, and reports managing roughly $11.6 million for about 35 clients. The firm generally charges asset-based fees for ongoing portfolio management and offers fixed-fee or hourly arrangements for financial planning.
The firm documents client goals and risk tolerances in an Investment Policy Statement and typically seeks discretionary authority to implement both long- and short-term trading strategies across mutual funds, fixed income, real estate funds (including REITs), equities, annuities and private placements. PDFG employs a broad set of analytical methods—charting, cyclical, fundamental, quantitative and modern portfolio theory—and provides ongoing monitoring with quarterly custodial reporting.
A distinctive feature is the firm’s affiliation with an insurance business and the fact that its supervised persons are licensed insurance agents, which the brochure discloses can create incentives to recommend commissionable insurance products and which the firm says it manages through disclosure and periodic review. The brochure also notes the firm requires clients to use a designated broker-dealer/custodian and does not utilize third‑party advisers or wrap fee programs, practices that differ from many similarly sized peers.
Client services
Portfolio management
Expertise
Wealth management
Real estate investing
Annuities
Cash flow / budgeting
Fee options
Fixed fees between $1,000 and $10,000
$1 - $99,999: 1.60% $100,000 - $249,999: 1.50% $250,000 - $499,999: 1.40% $500,000 - $749,999: 1.30% $750,000 - $999,999: 1.25% $1,000,000+: 1.00%
$250 to $500 per hour
Fee-only: Fixed fees between $1,000 and $10,000; Hourly fees between $250 and $500
Main office location
Pettus & Dawkins Financial Group, LLC
Miami FL, United States
Number of offices
1
Most active in
Pettus & Dawkins Financial Group, LLC has reported serving >5 clients in these states in the last 12 months.
Florida · Texas
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.
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.
-
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.
-
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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