SEC-Registered Investment Adviser
Dakota Wealth, LLC
Registration facts are from the firm's Form ADV Part 1A as published by the SEC, latest filing dated August 11, 2026. Figures are firm-level: they describe the advisory firm, not any single offering.
Registration
- Status
- Approved
- Registered since
- October 8, 2018
- Principal office
- 11376 N. Jog Road, Suite 101, Palm Beach Gardens, FL 33418-1752
- Organized as
- Limited Liability Company, FL
- Fiscal year end
- December
- Other offices
- 21
- Website
- www.dakotawm.com
Scale
- Regulatory AUM
- $6.9B
- Discretionary / non-discretionary
- $6.9B / $8.7M
- Attributable to non-US clients
- $6.9M
- Accounts
- 11,161
- Clients
- 0
- Employees
- 91, 61 in advisory roles
- Private funds advised
- 1
- Private fund gross assets
- $465,000
- Fund types
- 1 hedge funds
- Funds with Form D records
- 1 issuer in AltStreet's ledger, $29.7M reported sold across them
- Client assets in custody
- $1.9B (1,695 clients)
Business, clients and compensation, as filed
- Advisory activities
- financial planning, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, pension consulting, selection of other advisers and other advisory activities
- Compensated by
- a percentage of assets under management and fixed fees
- Client types
- individuals (other than high net worth) (2,441); high net worth individuals (1,287); pooled investment vehicles (1); pension and profit sharing plans (14); charitable organizations (12); corporations or other businesses (9)
- Related persons include
- an accountant or accounting firm and a sponsor, general partner or managing member of pooled investment vehicles
Form ADV Item 11 disclosures
The firm answered yes to the following Item 11 questions. The answers cover the firm and its advisory affiliates; the Disclosure Reporting Pages on IAPD identify the subject and the outcome.
- other regulator finding of a false statement or omission (Item 11D(1))
- other regulator finding of a violation (Item 11D(2))
- other regulator order, denial, suspension or revocation (Item 11D(4))
- other regulator restriction on activities (Item 11D(5))
Form D activity of the funds this firm advises, by year
1 issuer in AltStreet's EDGAR ledger are joined to this adviser through Form ADV Schedule D, with Form D filings from January 22, 2016 to January 20, 2017. Reported sold across them: $29.7M.Years are the year of each offering's first notice; sold and investors are the latest figures on each chain. Counts and totals only; the fund roster is in the terminal.
| First notice | Offerings | Reported sold | Investors |
|---|---|---|---|
| 2016 | 1 | $29.7M | 71 |
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Source: SEC Form ADV via IARD (roster of October 6, 2026), matched to the platform by AltStreet analysts. Item 11 answers are as reported on the firm's Form ADV and cover the firm and its advisory affiliates; consult the firm's IAPD record for the Disclosure Reporting Pages. Brochure statements are the firm's own. Nothing on this page is investment advice.