June 4th, 2021
Dowling & Yahnke Wealth Advisors, registered in 1987, serves 15 state(s) with a licensed staff of 25 advisors. Dowling & Yahnke Wealth Advisors manages $5.7 billion and provides investment advisory services for 1,370 clients (1:55 advisor/client ratio).
|Average Client Balance||$4,159,980|
|Total AUM||$5.7 billion|
|Advisor / Client Ratio||1:55|
|Headquarters||San Diego, CA|
|SEC Filings||View SEC IAPD CRD #107672|
We follow an evidence-based approach and focus on the factors we can control. Here’s what we believe.
After checking the disciplinary records of Dowling & Yahnke Wealth Advisors, our system found no disciplinary questions to ask. Checks take place monthly.
After checking the regulatory records of Dowling & Yahnke Wealth Advisors, our system has identified the following question(s) to ask. Learn more.
Dowling & Yahnke Wealth Advisors has marked in their disclosures that they trade recommended securities. While this often can be seen as "eating your own cooking," there are several inherent conflicts that can arise. For example, front running is when a financial professional buys or sell securities ahead of their client. In short, any financial professional should disclose all positions they hold (or have sold short) that they will also be recommending to you.
Our system found no other conflict questions to ask. Checks take place monthly.
An important aspect of the Trust Algorithm is processing the SEC Form ADV Part 1 filing of each Registered Investment Advisor (RIA). “Item 11 Disclosure Information” contains a list of valuable disclosures that are relevant for Americans.
As identified in SEC Form ADV Part 1, Item 11 “Disclosure Information”, the Trust Algorithm identified the following disciplinary disclosures for Dowling & Yahnke Wealth Advisors:
|Activity Restriction – SRO||No|
|Attorney/Accountant Authorization Revocation – SRO||No|
|Business License Revocation – SRO||No|
|Business License Revocation - SEC/CFTC||No|
|Business License Revocation - Other Regulatory Agencies||No|
|Dismissal upon Settlement – Court||No|
|Investment-Related Prohibition - Court||No|
|False Statements or Omissions – SRO||No|
|False Statements or Omissions - Other Regulatory Agencies||No|
|False Statements or Omissions - SEC/CFTC||No|
|Monetary Penalty - SEC/CFTC||No|
|Order Entered - SEC/CFTC||No|
|Order Entered - Other Regulatory Agencies||No|
|Regulation Violations - SEC/CFTC||No|
|Regulation Violations - Other Regulatory Agencies||No|
|Regulation Violations – SRO||No|
Unfortunately, there is no single, uniform pricing standard for working with a financial advisor. Catchphrases, including "fee-only," can be helpful; however, Americans often get confused with competitors promoting "fee-based" in response.
Ultimately, to understand the underlying costs of advisory services, we always recommend asking for an itemized fees breakdown and reading the firm's ADV Part 2 Brochure (Item 5, "Fees and Compensation").
|Insurance Agent Conflict - Affiliation||No|
|Insurance Agent Conflict - Firm||No|
|Private Investment Management||No|
|Trades Recommended Securities||Yes|
As a financial advisory firm, Dowling & Yahnke Wealth Advisors can provide a variety of financial planning services for Americans. Financial advisors help you achieve your life goals, e.g., saving for retirement, by creating a comprehensive financial plan and managing your investment portfolio (e.g., stocks, ETFs, mutual funds, bonds).
Financial planning services can include tax planning, estate planning, retirement planning, or life-based event planning such as saving for college, getting married, purchasing a home, paying down debt, or planning an inheritance.
Dowling & Yahnke Wealth Advisors is headquartered in San Diego, CA. Dowling & Yahnke Wealth Advisors offers financial advisor services in 15 states: Alaska, Arizona, California, Florida, Illinois, Massachusetts, Nevada, New Jersey, New York, North Carolina, Oregon, Tennessee, Texas, Virginia, Washington.
While Dowling & Yahnke Wealth Advisors advises clients across a variety of portfolio sizes, the average client balance is currently $4,159,980. In total, Dowling & Yahnke Wealth Advisors manages $5,699,173,134 in assets.
The SEC, nor FINRA, tracks portfolio performance metrics for the financial planning industry. As a result, unlike hedge funds, there is no historical performance for any financial advisory firm. Financial plans and investment portfolios are always unique to the client's personal financial situation.
investor.com relies on regulatory data from the SEC to rate and review financial advisor firms. As a result, we do not support personal reviews on the site. To file a complaint or dispute with this firm, please fill out the SEC Investor Complaint Form.
This automated report was generated using SEC and FINRA data and was last updated on June 4th, 2021*. For data support, email "firstname.lastname@example.org". Views: 489 (trailing six months). Firms that receive a 4.5 or 5-star rating are considered Trusted by investor.com. Learn more.