Michael A. Dubis Financial Planning, LLC (Middleton)

Name: Michael A. Dubis Financial Planning, LLC
Address: 8383 Greenway Blvd., Middleton, WI, 53562
Telephone: 608-827-6755

Michael A. Dubis Financial Planning, LLC is a large advisory firm based in Middleton. It manages $138.4 million of regulatory assets for 48 client accounts. It has been registered with the SEC as an adviser since 2016 and has operated in the jurisdiction of Wisconsin.

Michael A. Dubis Financial Planning provides financial planning services, portfolio management for individuals and small businesses, and portfolio management for businesses and institutional clients. It prepares financial plans for more than 25 clients. On top of advisory services, the firm doesn't engage in other business activities.

Michael A. Dubis Financial Planning: assets under management

The assets under management (AUM) of Michael A. Dubis Financial Planning, LLC is $138.4 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 18% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $138.4 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $2.88 million each.

Michael A. Dubis Financial Planning has custody of $88.8 million in cash and securities for 23 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 66% of the total AUM. The second-largest asset type is exchange traded securities, which make up 17% of the firm’s portfolio. Investments in government bonds form 11% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Michael A. Dubis Financial Planning, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Michael A. Dubis Financial Planning serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Michael A. Dubis Financial Planning is high net worth individuals with 39 clients and $133.14 million of assets under management. Among the 11 most similar advisory firms, Michael A. Dubis Financial Planning has the 2nd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $138.4 million for 48 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.

Michael A. Dubis Financial Planning doesn't advise any private funds.

Careers at Michael A. Dubis Financial Planning, LLC

The company employs 1 person that is either a part- or full-time employee. 100 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative 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.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Michael Anthony Dubis	Chief compliance officer / managing member	1 Jun 2002	75% - 100%	4418429

Based in Middleton

The principal office where Michael A. Dubis Financial Planning, LLC performs its advisory services is located at 8383 Greenway Blvd., Middleton, WI 53562 The mailing address of the firm is 8544 Stagecoach Road, Cross Plains, WI 53528. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 608-827-6755. The normal business hours are various on Monday - Friday. You can find more information about the New York firm at touchstoneplanning.com.