Dixon Financial Services Inc (Lafayette)

Name: Dixon Financial Services Inc
Address: 875 Las Trampas Road, Lafayette, CA, 94549
Telephone: 925-283-3104

Dixon Financial Services Inc is a large advisory firm based in Lafayette. It manages $528.91 million of regulatory assets for 262 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of California and Texas.

Dixon Financial Services provides financial planning services, portfolio management for individuals and small businesses, and educational seminars and workshops. It prepares financial plans for more than 250 clients. On top of advisory services, the firm doesn't engage in other business activities.

Dixon Financial Services: assets under management

The assets under management (AUM) of Dixon Financial Services Inc is $528.91 million. The firm's AUM has grown by 314% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $489.52 million in discretionary accounts and $39.39 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.88 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $19.69 million.

Dixon Financial Services has custody of $102.64 million in cash and securities for 30 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 88% of the total AUM. The second-largest asset type is exchange traded securities, which make up 5% of the firm’s portfolio. Investments in cash and cash equivalents form 4% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Dixon Financial Services Inc for their services and products based on a percentage of assets under management and hourly charges. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Michael Alan Dixon serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Michael Alan Dixon is high net worth individuals with 97 clients and $450.76 million of assets under management. Among the 10 most similar advisory firms, Dixon Financial Services has the 3rd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $514.03 million for 259 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Dixon Financial Services doesn't advise any private funds.

Careers at Dixon Financial Services Inc

The company employs 4 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 4 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Michael Alan Dixon has been acting as President since 1 Mar 1990. Wayne Thomas Freeman joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Michael Alan Dixon	Director/president	1 Mar 1990	75% - 100%	1767122
Wayne Thomas Freeman	Chief compliance officer	1 Sep 2004	Other	2179333

Based in Lafayette

The principal office where Dixon Financial Services Inc performs its advisory services is located at 875 Las Trampas Road, Lafayette, CA 94549, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 925-283-3104 or by fax 925-283-3524. The normal business hours are 8:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at dfsinc.com.