D
Dao Trading & Advisory Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$0
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
0
Very LowAverage account size
—
About
Dao Trading & Advisory Inc. provides investment management, financial planning, and combined wealth management services, and also offers educational seminars and training on market trend analysis and commodity futures. The firm’s brochure lists clients that include individuals, high‑net‑worth clients, families, charitable organizations and other business entities.
The firm’s investment process emphasizes macroeconomic analysis — including money supply, interest rates and commodity prices — with asset allocation as the primary implementation tool and technical analysis used for trade timing; it generally manages accounts on a discretionary basis under a limited power of attorney. Dao offers multiple billing arrangements (including asset‑based, flat retainer and hourly or one‑time planning fees) and states it does not receive sales commissions for recommended products.
Noteworthy items in the brochure that are less common for firms in this category include Dao’s registration as a Commodity Trading Advisor with the CFTC/NFA and its routine provision of public and client training classes, sometimes tuition‑based. The firm is newly formed with no current assets under management and a single owner, and its stated proxy‑voting practice leaves voting responsibility with clients except in limited ERISA situations.
Client services
Portfolio management
Educational seminars or workshops
Expertise
Active portfolio management
Tax-loss harvesting
Real estate investing
General retirement planning
General estate planning guidance
Fee options
Flat fees available for Financial Planning Services and Other Consulting Services, amount agreed in advance
$0 - $800,000: Minimum fee of $2,000 per quarter applies $0 - $800,000: 1.0% $800,000 - $2,000,000: 0.93% $2,000,000 - $5,000,000: 0.85% $5,000,000 - $10,000,000: 0.5% $10,000,000 - $25,000,000: 0.35% $25,000,000+: 0.3%
$299 per planner-hour for Financial Planning Services
Flat Quarterly Retainer fee (amount agreed in advance) for Investment Management Services
Account minimum: $500,000 Minimum fee: $2,000 per quarter minimum fee for accounts under $800,000 Fee-only: Financial Planning Services hourly fee at $299 per hour; flat fees and capped hourly fees also available for financial planning
Main office location
Dao Trading & Advisory Inc.
San Jose CA, United States
Number of offices
1
Most active in
Dao Trading & Advisory Inc. has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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