Dowling & Yahnke Wealth Advisors Review
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October 13th, 2020
Dowling & Yahnke Wealth Advisors, registered in 1987, is a Registered Investment Advisor (RIA) in 13 state(s) with a licensed staff of 23 advisors. Dowling & Yahnke Wealth Advisors manages $4.7 billion and provides investment advisory services for 1,271 clients (1:56 advisor/client ratio).
Disciplinary Questions
After checking the disciplinary records of Dowling & Yahnke Wealth Advisors, our system found no disciplinary questions to ask. Checks take place monthly.
Conflict Questions
After checking the regulatory records of Dowling & Yahnke Wealth Advisors, our system has identified the following question(s) to ask. Learn more.
Which securities do you trade for yourself that you will also be recommending to me?
Why ask? This firm 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.
Firm Information
As a financial advisory firm, also known as a Registered Investment Advisor (RIA), Dowling & Yahnke Wealth Advisors can provide a variety of financial planning services for Americans. The goal of a financial advisor is to review your personal finances and work with you to achieve your life goals, e.g., saving for retirement, by creating a comprehensive financial plan. Financial advisors focus primarily on money management, including investments like stocks, ETFs, and mutual funds.
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.
| Summary | Firm |
| Overall Rating | |
| Minimum Investment | $1,000,000 |
| Average Client Balance | $3,721,771 |
| Total AUM | $4.7 billion |
| Fee Range | |
| Advisor / Client Ratio | 1:56 |
| Languages Offered | English |
| Specialities | Ask firm |
| Website | Visit Site |
| Phone Number | 858-509-9500 |
| Headquarters | San Diego, CA |
| Locations | See locations |
| Visit Profile | |
| dywealth | |
| Visit Profile | |
| SEC Filings | View SEC IAPD CRD #107672 |
Investment Philosophy
We follow an evidence-based approach and focus on the factors we can control. Here’s what we believe.
Disciplinary History
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:
Cost
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").
FAQs
Where is Dowling & Yahnke Wealth Advisors headquartered? Which states do its financial advisors serve?
Dowling & Yahnke Wealth Advisors is headquartered in San Diego, CA. Dowling & Yahnke Wealth Advisors offers financial advisor services in 13 states: Arizona, California, Colorado, Florida, Illinois, Massachusetts, Nevada, New York, North Carolina, Oregon, Texas, Virginia, Washington.
What is the average client balance at Dowling & Yahnke Wealth Advisors?
While Dowling & Yahnke Wealth Advisors advises clients across a variety of portfolio sizes, the average client balance is currently $3,721,771. In total, Dowling & Yahnke Wealth Advisors manages $4,730,371,019 in assets.
What is the historical performance of Dowling & Yahnke Wealth Advisors?
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.
Can I write a review of Dowling & Yahnke Wealth Advisors or file a complaint?
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.
Other Firms
Palouse Capital Management, Harris Wealth Advisors, Glacier Point Advisors, Wildflower Financial
This automated report was generated using SEC and FINRA data and was last updated on October 13th, 2020*. For data support, email "support@investor.com". Views: 501 (trailing six months). Firms that receive a 4.5 or 5-star rating are considered Trusted by investor.com. Learn more.
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