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

JOHN D. DOVICH & ASSOCIATES, LLC

CRD 120458

CINCINNATI, OH

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:380f30da-fb7f-bb15-7506-165b62030ab7

Data as of Mar 5, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 0
On other graphs: 1
Observed: Mar 21, 2012 to Mar 5, 2019
20 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

John D. Dovich & Associates, LLC

Private equity manager · shared crd

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: $546MItem 5.F on the latest filing (2019-03-05); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $466M
Private client RAUM: $480MderivedItem 5.D individuals plus high net worth individuals
Private client share: 88%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 13
Advisory employees: 8
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 2,116
Individual clients: 395
High net worth clients: 66
Private funds: 2Schedule D 7.B(1)
Private fund GAV: $15.1Mgross asset value as reported per fund; never fund size
Custody, client assets: $75.0M
SEC number: 801-62184
CRD: 120458
Filings on the tape: 20
First filed: Mar 21, 2012
Latest filed: Mar 5, 2019
Organised: Limited Liability Company, Ohio

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
BRUNS, WILLIAM, CARL	PRINCIPAL & MEMBER	A	yes	03/2016	Mar 29, 2016	Mar 5, 2019
DOVICH, JOHN, DAVID	PRESIDENT & MANAGING MEMBER	E	yes	01/2009	Mar 21, 2012	Mar 5, 2019
LALLEY, THOMAS, JOSEPH	PRINCIPAL & MEMBER	A	yes	01/2009	Sep 18, 2013	Mar 5, 2019
PAYNE, CHRISTOPHER, LEE	CHIEF COMPLIANCE OFFICER	Na	yes	11/2018	Nov 29, 2018	Mar 5, 2019

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
2018	Feb 22, 2019	$546M	$466M	13	8	0	2	$9.2M
2017	Mar 21, 2018	$509M	$418M	14	10	0	2	$9.2M
2016	Mar 30, 2017	$394M	$317M	14	7	n/a	n/a	n/a
2015	Mar 29, 2016	$344M	$245M	10	5	n/a	n/a	n/a
2014	Mar 31, 2015	$331M	$0	10	5	n/a	n/a	n/a
2013	Mar 25, 2014	$306M	$0	10	5	n/a	n/a	n/a
2012	Mar 20, 2013	$236M	$0	9	4	n/a	n/a	n/a
2011	Mar 21, 2012	$201M	$0	n/a	n/a	n/a	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
2018	$546M	$509M	7.3%	$344M	16.7%	13	14	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
MAI CAPITAL MANAGEMENT, LLC	6	Jul 8, 2019	Jul 17, 2019	CINCINNATI, OH	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (4)

← DOVICH, JOHN, DAVIDOwnerPRESIDENT & MANAGING MEMBER, ownership code E, individual
Mar 21, 2012 to presentfactForm ADV
← LALLEY, THOMAS, JOSEPHOwnerPRINCIPAL & MEMBER, ownership code A, individual
Sep 18, 2013 to presentfactForm ADV
← BRUNS, WILLIAM, CARLOwnerPRINCIPAL & MEMBER, ownership code A, individual
Mar 29, 2016 to presentfactForm ADV
← PAYNE, CHRISTOPHER, LEEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 29, 2018 to presentfactForm ADV

Moved with (1)

→ MAI CAPITAL MANAGEMENT, LLCRegistered adviser6 advisors, firm absorbed, same day
Jul 8, 2019 to Jul 17, 2019factForm ADV

Registered with (10)

← JOHN DAVID DOVICHAdvisorregistration: previous registration
Jan 1, 2000 to Jul 8, 2019factForm ADV
← THOMAS JOSEPH LALLEYAdvisorregistration: previous registration
Nov 16, 2001 to Jul 8, 2019factForm ADV
← WILLIAM CARL BRUNSAdvisorregistration: previous registration
Feb 17, 2010 to Jul 8, 2019factForm ADV
← NEIL JOSEPH JOHN HANTAKAdvisorregistration: previous registration
Aug 25, 2017 to Jul 8, 2019factForm ADV
← MICHAEL C BRENNANAdvisorregistration: previous registration
Jun 27, 2016 to Jul 8, 2019factForm ADV
← WILLIAM ROBERT BRUNSAdvisorregistration: previous registration
Nov 13, 2017 to Jul 8, 2019factForm ADV
← Dean Robert JohnsAdvisorregistration: previous registration
Sep 28, 2012 to Feb 13, 2019factForm ADV
← Matthew Thomas MalafaAdvisorregistration: previous registration
Nov 25, 2008 to Aug 24, 2012factForm ADV
← TONY MATTHEW OOMMENAdvisorregistration: previous registration
Mar 21, 2007 to Feb 15, 2008factForm ADV
← MICHAEL WILLIAM CLARKAdvisorregistration: previous registration
Nov 16, 2001 to Dec 11, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:380f30da-fb7f-bb15-7506-165b62030ab7
First observed: Mar 21, 2012
Last observed: Mar 5, 2019 91 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.

JOHN D. DOVICH & ASSOCIATES, LLC

CRD 120458

CINCINNATI, OH

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:380f30da-fb7f-bb15-7506-165b62030ab7

Data as of Mar 5, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:08 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BRUNS, WILLIAM, CARL

PRINCIPAL & MEMBER

yes

03/2016

Mar 29, 2016

Mar 5, 2019

DOVICH, JOHN, DAVID

PRESIDENT & MANAGING MEMBER

yes

01/2009

Mar 21, 2012

Mar 5, 2019

LALLEY, THOMAS, JOSEPH

PRINCIPAL & MEMBER

yes

01/2009

Sep 18, 2013

Mar 5, 2019

PAYNE, CHRISTOPHER, LEE

CHIEF COMPLIANCE OFFICER

yes

11/2018

Nov 29, 2018

Mar 5, 2019

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Feb 22, 2019

$546M

$466M

$9.2M

2017

Mar 21, 2018

$509M

$418M

$9.2M

2016

Mar 30, 2017

$394M

$317M

n/a

2015

Mar 29, 2016

$344M

$245M

n/a

2014

Mar 31, 2015

$331M

n/a

2013

Mar 25, 2014

$306M

n/a

2012

Mar 20, 2013

$236M

n/a

2011

Mar 21, 2012

$201M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$546M

$509M

7.3%

$344M

16.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MAI CAPITAL MANAGEMENT, LLC

Jul 8, 2019

Jul 17, 2019

CINCINNATI, OH

Firm absorbed

RIA to RIA

100.0%