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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

DICE FINANCIAL INVESTMENT ADVISORY, LLC

CRD 304424

MITCHELL, SD

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:04274f2f-7d97-ac92-e9a1-838f04e05db3

Data as of Apr 14, 2021 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 4
On other graphs: 0
Observed: Sep 5, 2019 to Apr 14, 2021
5 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $141MItem 5.F on the latest filing (2021-04-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $55.3MderivedItem 5.D individuals plus high net worth individuals
Private client share: 39%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 86
Individual clients: 26
High net worth clients: 17
SEC number: 801-117441
CRD: 304424
Filings on the tape: 5
First filed: Sep 5, 2019
Latest filed: Apr 14, 2021
Organised: Limited Liability Company, South Dakota

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
DICE, THOMAS, JOEL	CHIEF COMPLIANCE OFFICER/ BOARD MEMBER	Na	yes	02/2020	Sep 5, 2019	Apr 14, 2021
JOHNSON, JACQUELYN, DICE	Partner	D	yes	02/2020	Mar 12, 2020	Apr 14, 2021
LEBRUN, MICHAEL, LAWRENCE	Partner	D	yes	02/2020	Mar 12, 2020	Apr 14, 2021

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
DICE FINANCIAL SERVICE GROUP	n/a	n/a	n/a	Y	no	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Feb 18, 2021	$141M	$0	5	5	0	n/a	n/a
2019	Mar 12, 2020	$124M	$0	5	5	0	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$141M	$124M	13.4%	n/a	n/a	5	5	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
OSAIC WEALTH, INC.	4	Dec 10, 2021	Apr 9, 2021	MITCHELL, SD	Firm absorbed	RIA to ibd	100.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
DICE FINANCIAL INVESTMENT ADVISORY	4	Dec 13, 2019	Dec 16, 2019	MITCHELL, SD	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (3)

← LEBRUN, MICHAEL, LAWRENCEOwnerPARTNER, ownership code D, individual
Mar 12, 2020 to presentfactForm ADV
← JOHNSON, JACQUELYN, DICEOwnerPARTNER, ownership code D, individual
Mar 12, 2020 to presentfactForm ADV
← DICE, THOMAS, JOELOwnerCHIEF COMPLIANCE OFFICER/ BOARD MEMBER, ownership code NA, individual
Sep 5, 2019 to presentfactForm ADV

Registered with (4)

← JERAULD JOSEPH GARRYAdvisorregistration: previous registration
Dec 16, 2019 to Dec 10, 2021factForm ADV
← MICHAEL LAWRENCE LEBRUNAdvisorregistration: previous registration
Dec 16, 2019 to Dec 10, 2021factForm ADV
← JACQUELYN DICE JOHNSONAdvisorregistration: previous registration
Dec 16, 2019 to Dec 10, 2021factForm ADV
← JESSE JAMES TOLSMAAdvisorregistration: previous registration
Dec 16, 2019 to Dec 10, 2021factForm ADV

Moved with (2)

→ OSAIC WEALTH, INC.Registered adviser4 advisors, firm absorbed, same day
Dec 10, 2021 to Apr 9, 2021factForm ADV
← DICE FINANCIAL INVESTMENT ADVISORYRegistered adviser4 advisors, firm absorbed, same day
Dec 13, 2019 to Dec 16, 2019factForm ADV

Dated events

Occurred
Mar 12, 2020
Control person joined
Lawrence Michael Lebrun (Partner) appeared on Schedule A of Dice Financial Investment Advisory, Llc
Form ADVobserved 5 days ago
Occurred
Mar 12, 2020
Control person joined
Dice Jacquelyn Johnson (Partner) appeared on Schedule A of Dice Financial Investment Advisory, Llc
Form ADVobserved 5 days ago
Occurred
Sep 5, 2019
Succession filed (Item 4)
Dice Financial Investment Advisory, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 5 days ago
Occurred
Sep 5, 2019
First Form ADV filing
Dice Financial Investment Advisory, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:04274f2f-7d97-ac92-e9a1-838f04e05db3
First observed: Sep 5, 2019
Last observed: Apr 14, 2021 66 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

DICE FINANCIAL INVESTMENT ADVISORY, LLC

CRD 304424

MITCHELL, SD

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:04274f2f-7d97-ac92-e9a1-838f04e05db3

Data as of Apr 14, 2021 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:51 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DICE, THOMAS, JOEL

CHIEF COMPLIANCE OFFICER/ BOARD MEMBER

yes

02/2020

Sep 5, 2019

Apr 14, 2021

JOHNSON, JACQUELYN, DICE

Partner

yes

02/2020

Mar 12, 2020

Apr 14, 2021

LEBRUN, MICHAEL, LAWRENCE

Partner

yes

02/2020

Mar 12, 2020

Apr 14, 2021

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

DICE FINANCIAL SERVICE GROUP

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Feb 18, 2021

$141M

n/a

2019

Mar 12, 2020

$124M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$141M

$124M

13.4%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

OSAIC WEALTH, INC.

Dec 10, 2021

Apr 9, 2021

MITCHELL, SD

Firm absorbed

RIA to ibd

100.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

DICE FINANCIAL INVESTMENT ADVISORY

Dec 13, 2019

Dec 16, 2019

MITCHELL, SD

Firm absorbed

RIA to RIA

100.0%