# Dakota Wealth, LLC

> Dakota Wealth, LLC is an SEC-registered investment advisory firm in Palm Beach Gardens, FL, registered since 2018, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated August 11, 2026.

- CRD: 297987
- Filed as: DAKOTA WEALTH, LLC
- Also doing business as: DAKOTA WEALTH MANAGEMENT
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Palm Beach Gardens, FL
- Filing period: October 2026
- Form ADV filing dated: August 11, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/297987
- AdvisorCensus page: https://advisorcensus.com/firm/dakota-wealth-llc-palm-beach-gardens-fl-297987

## Quick answers

**How is Dakota Wealth, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Dakota Wealth, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees).

**Where is Dakota Wealth, LLC located?**
Dakota Wealth, LLC's principal office is in Palm Beach Gardens, FL, according to its Form ADV; the September 2026 filing also lists 16 other offices (Schedule D, Section 1.F).

**Is Dakota Wealth, LLC registered with the SEC or a state?**
Dakota Wealth, LLC is an SEC-registered investment advisory firm, registered since 2018. Status as filed: Approved. CRD 297987.

**How much does Dakota Wealth, LLC manage?**
Dakota Wealth, LLC reports $6,941,956,964 in regulatory assets under management in its Form ADV filing dated August 11, 2026 (100% discretionary).

**How have Dakota Wealth, LLC's assets and staff changed since 2021?**
In the Form ADV data for Dakota Wealth, LLC: Regulatory assets under management: $1,785,030,984 in the October 2021 data and $6,941,956,964 in the October 2026 data, up 289%. Total employees: 42 in October 2021 and 91 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Dakota Wealth, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (2,441); high net worth individuals (1,287); pension and profit sharing plans (but not the plan participants or government pension plans) (14).

**Which custodians does Dakota Wealth, LLC use?**
Dakota Wealth, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc., Fidelity Brokerage Services LLC and Pershing Advisor Solutions LLC as custodians holding 10% or more of its separately managed account assets.

**Does Dakota Wealth, LLC report any disciplinary disclosures?**
Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.D(1) (another regulator's finding of a false statement or omission, or of dishonest, unfair, or unethical conduct), 11.D(2) (another regulator's finding of a violation), 11.D(4) (another regulator's order in the past ten years), and 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/297987

**Does Dakota Wealth, LLC state an account minimum?**
Its Form ADV Part 2A brochure dated March 24, 2026 says: "Dakota Wealth Management generally does not impose a minimum relationship size."

**What changed in Dakota Wealth, LLC's recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 50 to 61. Changed its office addresses in Mechanicsburg, PA. Changed its office addresses in Newton, MA. Changed its office addresses in Sartell, MN. Added an office in Philadelphia, PA. Added an office in Portsmouth, NH. Added an office in Reading, PA.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated March 24, 2026)

- Account minimum: None

> Dakota Wealth Management generally does not impose a minimum relationship size.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- Fidelity Brokerage Services LLC
- Pershing Advisor Solutions LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $6,941,956,964
- Discretionary: $6,933,273,402
- Non-discretionary: $8,683,562

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 2,441 | $1,931,139,554 |
| High net worth individuals | 1,287 | $4,657,632,716 |
| Pooled investment vehicles (other than investment companies and business development companies) | 1 | $465,000 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 14 | $297,025,074 |
| Charitable organizations | 12 | $51,972,518 |
| Corporations or other businesses not listed above | 9 | $3,722,102 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Other

### Firm details
- Registered since: 2018 (7 years)
- Employees: 91 total, 61 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AZ, CA, CO, CT, DC, DE, FL, GA, IA, IL, LA, MA, MD, ME, MI, MN, MT, NC, ND, NE, NH, NJ, NV, NY, OH, OR, PA, RI, SC, SD, TN, TX, VA, VT, WA, WI, WY
- Disclosures (Item 11): Reports 4 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(1): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
- 11.D(4): In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.D(5): Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/297987

### Other offices (Schedule D, Section 1.F), as of the September 2026 filing
- Akron, OH
- Billings, MT
- Fort Lauderdale, FL
- Hilton Head, SC
- Lewes, DE
- Mansfield, MA
- Mechanicsburg, PA
- Newton, MA
- Palm Beach, FL
- Philadelphia, PA
- Portsmouth, NH
- Reading, PA
- Richmond, VA
- Sartell, MN
- Stillwater, MN
- Syracuse, NY

### Websites listed on Form ADV (Item 1.I)
- dakotawm.com
- LinkedIn @dakota-wealth-management
- X @DakotaWealth
- YouTube @dakotawealthmanagement

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $1,785,030,984 | 42 | October 1, 2021 |
| October 2022 | $1,950,933,900 | 56 | September 9, 2022 |
| October 2023 | $2,548,153,882 | 57 | July 17, 2023 |
| October 2024 | $6,122,964,202 | 84 | September 10, 2024 |
| October 2025 | $6,335,261,507 | 78 | June 5, 2025 |
| October 2026 | $6,941,956,964 | 91 | August 11, 2026 |

Regulatory assets under management: $1,785,030,984 in the October 2021 data and $6,941,956,964 in the October 2026 data, up 289%.
Total employees: 42 in October 2021 and 91 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 50 to 61.
- Changed its office addresses in Mechanicsburg, PA.
- Changed its office addresses in Newton, MA.
- Changed its office addresses in Sartell, MN.
- Added an office in Philadelphia, PA.
- Added an office in Portsmouth, NH.
- Added an office in Reading, PA.

### December 2025
- Added an office in Lewes, DE.
- Registered or notice-filed in DE.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Dakota Wealth, LLC (CRD 297987): Form ADV filing data as of October 2026.