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DFC Preferred Advisors LLC
Filed as DFC PREFERRED ADVISORS LLC
DFC Preferred Advisors LLC is an SEC-registered investment advisory firm in Bozeman, MT, registered since 2020, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 11, 2026.
Quick answers
From the filingHow is DFC Preferred Advisors LLC compensated?
On its Form ADV (Item 5.E, October 2026), DFC Preferred Advisors LLC reports these compensation arrangements: a percentage of assets under its management.
Where is DFC Preferred Advisors LLC located?
DFC Preferred Advisors LLC's principal office is in Bozeman, MT, according to its Form ADV.
Is DFC Preferred Advisors LLC registered with the SEC or a state?
DFC Preferred Advisors LLC is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 309927.
How much does DFC Preferred Advisors LLC manage?
DFC Preferred Advisors LLC reports $228,689,025 in regulatory assets under management in its Form ADV filing dated March 11, 2026 (100% discretionary).
How have DFC Preferred Advisors LLC's assets and staff changed since 2021?
In the Form ADV data for DFC Preferred Advisors LLC: Regulatory assets under management: $285,698,474 in the October 2021 data and $228,689,025 in the October 2026 data, down 20%. Total employees: 3 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does DFC Preferred Advisors LLC serve?
By number of clients on Form ADV Item 5.D: investment companies (1).
Does DFC Preferred Advisors LLC report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/309927
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Regulatory assets under management
Item 5.F$228,689,025 as of October 2026, filing dated March 11, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for investment companies (and business development companies)
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2020 (5 years)
- Employees
- Total: 3. Performing investment advisory functions: 2.
- Wrap fee program participation
- No.
- States registered or notice-filed
-
1 state or jurisdiction
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $228,689,025 | 3 | March 11, 2026 |
| October 2025 | $245,368,656 | 3 | March 19, 2025 |
| October 2024 | $204,894,174 | 3 | February 28, 2024 |
| October 2023 | $216,373,351 | 3 | March 21, 2023 |
| October 2022 | $328,021,000 | 3 | March 4, 2022 |
| October 2021 | $285,698,474 | 3 | August 17, 2021 |
Regulatory assets under management: $285,698,474 in the October 2021 data and $228,689,025 in the October 2026 data, down 20%.
Total employees: 3 in October 2021 and 3 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 monthsNo changes to these filed facts in the last 12 months of filing data.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.INot reported.
Source: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. DFC Preferred Advisors LLC (CRD 309927): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/dfc-preferred-advisors-llc-bozeman-mt-309927