Dao Trading & Advisory Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$15,000,000
Clients
31
Advisors
1
of 1 employees
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
Expertise
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
San Jose CA
Advisors at this office
1
Most active in
California
Also doing business as
Dao Trading & Advisory Inc. · Horizon Investment Services, Inc.
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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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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