# Dumaine Investments LLC

> Dumaine Investments LLC is an SEC-registered investment advisory firm in New Orleans, LA, registered since 2019, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 24, 2026.

- CRD: 306481
- Filed as: DUMAINE INVESTMENTS LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New Orleans, LA
- Filing period: October 2026
- Form ADV filing dated: March 24, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/306481
- AdvisorCensus page: https://advisorcensus.com/firm/dumaine-investments-llc-new-orleans-la-306481

## Quick answers

**How is Dumaine Investments LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Dumaine Investments LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Dumaine Investments LLC located?**
Dumaine Investments LLC's principal office is in New Orleans, LA, according to its Form ADV.

**Is Dumaine Investments LLC registered with the SEC or a state?**
Dumaine Investments LLC is an SEC-registered investment advisory firm, registered since 2019. Status as filed: Approved. CRD 306481.

**How much does Dumaine Investments LLC manage?**
Dumaine Investments LLC reports $226,991,557 in regulatory assets under management in its Form ADV filing dated March 24, 2026 (76% discretionary).

**How have Dumaine Investments LLC's assets and staff changed since 2021?**
In the Form ADV data for Dumaine Investments LLC: Regulatory assets under management: $142,223,282 in the October 2021 data and $226,991,557 in the October 2026 data, up 60%. Total employees: 4 in October 2021 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Dumaine Investments LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (81); high net worth individuals (52); other (13).

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

**Does Dumaine Investments 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/306481

**What changed in Dumaine Investments LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $204,054,910 to $226,991,557 (+11%).

## From the Form ADV filing

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

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

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: $226,991,557
- Discretionary: $171,554,772
- Non-discretionary: $55,436,785

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 81 | $25,523,665 |
| High net worth individuals | 52 | $126,880,908 |
| Corporations or other businesses not listed above | 10 | $30,965,593 |
| Other | 13 | $43,621,391 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Publication of periodicals or newsletters
- Other

### Firm details
- Registered since: 2019 (6 years)
- Employees: 4 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: LA, NE, NH, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- dumaineinvestments.com
- LinkedIn @dumaineinvestments

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $142,223,282 | 4 | March 31, 2021 |
| October 2022 | $205,175,450 | 4 | March 31, 2022 |
| October 2023 | $199,656,318 | 4 | March 28, 2023 |
| October 2024 | $197,957,070 | 4 | March 27, 2024 |
| October 2025 | $204,054,910 | 4 | March 24, 2025 |
| October 2026 | $226,991,557 | 4 | March 24, 2026 |

Regulatory assets under management: $142,223,282 in the October 2021 data and $226,991,557 in the October 2026 data, up 60%.
Total employees: 4 in October 2021 and 4 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $204,054,910 to $226,991,557 (+11%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Dumaine Investments LLC (CRD 306481): Form ADV filing data as of October 2026.