D&M Capital Management, Inc. (Costa Mesa)

D&M Capital Management, Inc. is a large advisory firm based in Costa Mesa. It manages $76.57 million of regulatory assets for 115 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdiction of California.

D&M Capital Management provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and pension consulting services. It prepares financial plans for more than 50 clients. On top of advisory services, the firm doesn't engage in other business activities.

D&M Capital Management: assets under management

The assets under management (AUM) of D&M Capital Management, Inc. is $76.57 million. The firm's AUM has grown by 155% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $65.2 million in discretionary accounts and $11.36 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $749.48 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $405.73 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay D&M Capital Management, Inc. for their services and products based on a percentage of assets under management and hourly charges. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at D&M Capital Management, Inc.

Michael Craig Duckworth has been acting as President since 1 Sep 1998. Kara Leigh Duckworth joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Michael Craig Duckworth	President	1 Sep 1998	50% - 75%	3163945
Glenn Robert Mehner	Director/secretary	1 Sep 1998	25% - 50%	3175574
Mark Allan Doran	Director	1 Sep 1999	Other	3181186
Richard Byers Manchester	Executive director	1 Jul 2004	Other	1388336
Kara Leigh Duckworth	Chief compliance officer	1 Jan 2006	Other	3028626

Based in Costa Mesa

The principal office where D&M Capital Management, Inc. performs its advisory services is located at 3189 Pullman Street, Costa Mesa, CA 92626, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.