S
Stephen A. Dipisa Registered Investment Advisor
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$13,035,503
Clients
11
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
11
LowAverage account size
$1,185,046
About
Stephen A. Dipisa Registered Investment Advisor provides portfolio management and related advisory services to individual clients, delivering customized investment oversight and financial planning for a limited client base. The firm manages approximately $13 million in client assets across 11 accounts and uses a percentage-of-assets fee model disclosed in its brochure.
The brochure describes conventional methods of analysis and portfolio management common among independent advisers, such as asset allocation and periodic account review. It also discloses the use of market timing as part of its investment approach and outlines the attendant risks and implementation protocols for that strategy.
What is distinctive about the firm is the explicit inclusion of market timing in its stated strategies — an approach noted as uncommon among peers — coupled with its concentrated scale, which may allow more direct handling of trading decisions. The brochure also documents trading, personal trading and conflicts-of-interest policies, indicating an effort to address compliance and execution practices that become more salient when employing market timing.
Client services
Portfolio management
Market timing
Fee options
Main office location
Stephen A. Dipisa Registered Investment Advisor
New York NY, United States
Number of offices
1
Most active in
Stephen A. Dipisa Registered Investment Advisor 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:
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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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