DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Dumaine Investments LLC
Latest filing Mar 24, 2026
First filing on the tape Nov 8, 2019 · 19 filings
SEC status approved since Dec 10, 2019
RAUM
$227M
reported, Item 5.F
Discretionary
76%
of RAUM
Private clients
67%
$152M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$113M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$227M as of Mar 24, 2026
Mar 31, 2021$142M then
HNW client RAUM$127M as of Mar 24, 2026
Mar 31, 2021$130M then
State-registered IARs (5.B.3)2 as of Mar 24, 2026
Mar 31, 20212 then
Employees (5.A)4 as of Mar 24, 2026
Mar 31, 20214 then
Private funds: no history
RAUM +11% over the last fiscal year+4.4% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $113MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $637,617derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 76%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publications, otherreportedItem 5.G
- Custody
- $560,038, 1 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$127M69%
- Corporations and businesses$31.0M17%
- Individuals$25.5M14%
- Individual clients
- 81reported
- HNW clients
- 52reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 356reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $560,038 for 1 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.67 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Clifford Freret FavrotCertified Financial Planner, Chartered Financial Analyst | New Orleans, La | Dec 13, 2019 | 23 y | 1 |
| Mitchell Robert BordelonCertified Financial Planner | New Orleans, La | Jul 8, 2024 | 13 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Jo Anne Keck to Cwa Asset Management GroupJan 10, 2023 · RIA to RIA
Joined, latest
- Mitchell Robert Bordelon from Crescent Sterling Ltd.Jul 8, 2024 · RIA to RIA
- Clifford Freret Favrot from Delta Financial Advisors, L.L.C.Dec 13, 2019 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Freret Clifford Favrot · President/Chief Compliance Officercontrolsince 11/2019 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New Orleans, La · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 343 to 356Mar 24, 2025 to Mar 24, 2026
- Corporate clients · 11 to 10Mar 24, 2025 to Mar 24, 2026
- HNW clients · 49 to 52Mar 24, 2025 to Mar 24, 2026
- Individual clients · 71 to 81Mar 24, 2025 to Mar 24, 2026
- Assets in custody · $485,968 to $560,038Mar 24, 2025 to Mar 24, 2026
- Discretionary RAUM · $154M to $172MMar 24, 2025 to Mar 24, 2026
- HNW RAUM · $111M to $127MMar 24, 2025 to Mar 24, 2026
- Individual RAUM · $18.8M to $25.5MMar 24, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $49.7M to $55.4MMar 24, 2025 to Mar 24, 2026
- RAUM · $204M to $227MMar 24, 2025 to Mar 24, 2026
- Accounts · 280 to 343Mar 27, 2024 to Mar 24, 2025
- BD registered reps · 1 to 0Mar 27, 2024 to Mar 24, 2025
- Corporate clients · 10 to 11Mar 27, 2024 to Mar 24, 2025
- HNW clients · 39 to 49Mar 27, 2024 to Mar 24, 2025
- Individual clients · 43 to 71Mar 27, 2024 to Mar 24, 2025
- Assets in custody · $0 to $485,968Mar 27, 2024 to Mar 24, 2025
- Financial planning clients · 11-25 to 11-25Mar 27, 2024 to Mar 24, 2025
- Discretionary RAUM · $164M to $154MMar 27, 2024 to Mar 24, 2025
- HNW RAUM · $92.0M to $111MMar 27, 2024 to Mar 24, 2025
- Individual RAUM · $18.1M to $18.8MMar 27, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $33.6M to $49.7MMar 27, 2024 to Mar 24, 2025
- RAUM · $198M to $204MMar 27, 2024 to Mar 24, 2025
- Accounts · 303 to 280Oct 19, 2023 to Mar 27, 2024
- Corporate clients · 11 to 10Oct 19, 2023 to Mar 27, 2024
- HNW clients · 46 to 39Oct 19, 2023 to Mar 27, 2024
- Individual clients · 45 to 43Oct 19, 2023 to Mar 27, 2024
- Assets in custody · $455,797 to $0Oct 19, 2023 to Mar 27, 2024
- Discretionary RAUM · $137M to $164MOct 19, 2023 to Mar 27, 2024
- HNW RAUM · $90.5M to $92.0MOct 19, 2023 to Mar 27, 2024
- Individual RAUM · $12.4M to $18.1MOct 19, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $63.0M to $33.6MOct 19, 2023 to Mar 27, 2024
- RAUM · $200M to $198MOct 19, 2023 to Mar 27, 2024
- Accounts · 278 to 303Mar 31, 2022 to Mar 28, 2023
- Corporate clients · 9 to 11Mar 31, 2022 to Mar 28, 2023
- HNW clients · 47 to 46Mar 31, 2022 to Mar 28, 2023
- Individual clients · 41 to 45Mar 31, 2022 to Mar 28, 2023
- Assets in custody · $440,772 to $455,797Mar 31, 2022 to Mar 28, 2023
- Discretionary RAUM · $150M to $137MMar 31, 2022 to Mar 28, 2023
- HNW RAUM · $135M to $90.5MMar 31, 2022 to Mar 28, 2023
- Individual RAUM · $11.6M to $12.4MMar 31, 2022 to Mar 28, 2023
Signals
2 dated events
- Jo Anne Keck left Dumaine Investments Llc for Cwa Asset Management Group (registered 2023-01-18)Jan 10, 2023 · Advisor changed firm · fact
- Dumaine Investments Llc filed its initial SEC registration (Form ADV)Nov 8, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Dumaine Investments LLC · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business email
- info@dumaineinvestments.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 504-521-7150reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 504-521-7350reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/dumaineinvestmentsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- dumaineinvestments.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 504-521-7350reportedpublic record, Form ADV, Mar 24, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $113Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026