# Dominari Securities LLC

> Dominari Securities LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2013, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 30, 2026.

- CRD: 18975
- Filed as: DOMINARI SECURITIES LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/18975
- AdvisorCensus page: https://advisorcensus.com/firm/dominari-securities-llc-new-york-ny-18975

## Quick answers

**How is Dominari Securities LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Dominari Securities LLC reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Dominari Securities LLC located?**
Dominari Securities LLC's principal office is in New York, NY, according to its Form ADV.

**Is Dominari Securities LLC registered with the SEC or a state?**
Dominari Securities LLC is an SEC-registered investment advisory firm, registered since 2013. Status as filed: Approved. CRD 18975.

**How much does Dominari Securities LLC manage?**
Dominari Securities LLC reports $28,046,499 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (0% discretionary).

**How have Dominari Securities LLC's assets and staff changed since 2021?**
In the Form ADV data for Dominari Securities LLC: Regulatory assets under management: $2,880,537,606 in the October 2021 data and $28,046,499 in the October 2026 data, down 99%. Total employees: 55 in October 2021 and 14 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Dominari Securities LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (60); corporations or other businesses not listed above (3).

**Which custodians does Dominari Securities LLC use?**
Dominari Securities LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and RBC Capital Markets, LLC as custodians holding 10% or more of its separately managed account assets.

**Does Dominari Securities LLC report any disciplinary disclosures?**
Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation), 11.D(4) (another regulator's order in the past ten years), 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, bar, or restriction), and 11.E(2) (self-regulatory organization's finding of a rule violation). 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/18975

**What changed in Dominari Securities LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $41,647,787 to $28,046,499 (-33%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- RBC Capital Markets, 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: $28,046,499
- Discretionary: $0
- Non-discretionary: $28,046,499

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 60 | $21,204,510 |
| High net worth individuals | Not reported | $0 |
| Banking or thrift institutions | Not reported | $0 |
| Investment companies | Not reported | $0 |
| Business development companies | Not reported | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | Not reported | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Not reported | $0 |
| Charitable organizations | Not reported | $0 |
| State or municipal government entities (including government pension plans) | Not reported | $0 |
| Other investment advisers | Not reported | $0 |
| Insurance companies | Not reported | $0 |
| Sovereign wealth funds and foreign official institutions | Not reported | $0 |
| Corporations or other businesses not listed above | 3 | $6,841,989 |
| Other | Not reported | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2013 (13 years)
- Employees: 14 total, 8 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
- Disclosures (Item 11): Reports 4 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 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?
- 11.E(2): Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?

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/18975

### Websites listed on Form ADV (Item 1.I)
- dominarisecurities.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $2,880,537,606 | 55 | September 3, 2021 |
| October 2022 | $1,107,779,210 | 12 | September 30, 2022 |
| October 2023 | $30,067,536 | 6 | July 6, 2023 |
| October 2024 | $26,785,046 | 11 | September 5, 2024 |
| October 2025 | $41,647,787 | 11 | March 31, 2025 |
| October 2026 | $28,046,499 | 14 | March 30, 2026 |

Regulatory assets under management: $2,880,537,606 in the October 2021 data and $28,046,499 in the October 2026 data, down 99%.
Total employees: 55 in October 2021 and 14 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $41,647,787 to $28,046,499 (-33%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Dominari Securities LLC (CRD 18975): Form ADV filing data as of October 2026.