Los Angeles, CA E. 4th Pl. Office

Dew Point Capital is an SEC-registered advisory firm that provides fee-based discretionary portfolio management, financial planning, retirement income planning, and retirement plan consulting to individuals (including high-net-worth clients) as well as pension plans, trusts, estates, charitable organizations, and businesses. The firm reports roughly $512 million in client assets under management and offers custom portfolio management across a range of securities.

The advisor emphasizes a strategic allocation approach intended to reduce risk and improve performance, employing fundamental and cyclical analysis and primarily following a long-term purchase strategy while periodically making short-term adjustments. Portfolios may include exchange-listed and over-the-counter securities, mutual funds, ETFs, corporate debt, government securities, and cash positions used as hedges or for income and dividend enhancement.

Noteworthy disclosures in the brochure include a 2017 FINRA settlement in which the firm’s principal accepted a $5,000 fine and a two-month broker-dealer suspension related to mutual fund share transactions. The firm also manages a comparatively large number of client relationships for a four-advisor team (509 clients) and discloses a referral arrangement with a private-credit manager (Yrefy) for accredited-investor student-loan investments, for which it receives referral fees and may not charge its advisory fee on assets invested in that program.