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

DICE FINANCIAL INVESTMENT ADVISORY

DICE, THOMAS JOEL, CRD 123922

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:e0422a9a-e817-3d5c-39bc-d6c8e8f69a81

Data as of Aug 28, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Aug 28, 2019 to Aug 28, 2019
1 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: $129MItem 5.F on the latest filing (2019-08-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $44.7MderivedItem 5.D individuals plus high net worth individuals
Private client share: 35%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 95
Individual clients: 36
High net worth clients: 19
Custody, client assets: $0
SEC number: 801-117401
CRD: 123922
Filings on the tape: 1
First filed: Aug 28, 2019
Latest filed: Aug 28, 2019
Organised: Sole Proprietorship, 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 AND OWNER	E	yes	08/2019	Aug 28, 2019	Aug 28, 2019

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 SERVICES GROUP	n/a	n/a	n/a	Y	no	n/a

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
DICE FINANCIAL INVESTMENT ADVISORY, LLC	4	Dec 13, 2019	Dec 16, 2019	MITCHELL, SD	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (1)

← DICE, THOMAS, JOELOwnerCHIEF COMPLIANCE OFFICER AND OWNER, ownership code E, individual
Aug 28, 2019 to presentfactForm ADV

Moved with (1)

→ DICE FINANCIAL INVESTMENT ADVISORY, LLCRegistered adviser4 advisors, firm absorbed, same day
Dec 13, 2019 to Dec 16, 2019factForm ADV

Registered with (5)

← JERAULD JOSEPH GARRYAdvisorregistration: previous registration
Dec 9, 2002 to Dec 13, 2019factForm ADV
← MICHAEL LAWRENCE LEBRUNAdvisorregistration: previous registration
Dec 10, 2002 to Dec 13, 2019factForm ADV
← JACQUELYN DICE JOHNSONAdvisorregistration: previous registration
Dec 10, 2002 to Dec 13, 2019factForm ADV
← JESSE JAMES TOLSMAAdvisorregistration: previous registration
Aug 22, 2019 to Dec 13, 2019factForm ADV
← TODD ROBERT DATHEAdvisorregistration: previous registration
Dec 10, 2002 to Jul 22, 2003factForm ADV

Dated events

Occurred
Aug 28, 2019
First Form ADV filing
Dice Financial Investment Advisory filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e0422a9a-e817-3d5c-39bc-d6c8e8f69a81
First observed: Aug 28, 2019
Last observed: Aug 28, 2019 86 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

DICE, THOMAS JOEL, CRD 123922

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:e0422a9a-e817-3d5c-39bc-d6c8e8f69a81

Data as of Aug 28, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:48 AM 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 AND OWNER

yes

08/2019

Aug 28, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

DICE FINANCIAL SERVICES GROUP

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

DICE FINANCIAL INVESTMENT ADVISORY, LLC

Dec 13, 2019

Dec 16, 2019

MITCHELL, SD

Firm absorbed

RIA to RIA

100.0%