Dixon Financial Services
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$1,064,196,618
Clients
332
Advisors
6
of 6 employees
About
Dixon Financial Services serves individuals (including high net worth clients), trustees, charitable organizations, business owners, and corporations, providing investment advisory services that center on developing individualized Investment Policy Statements, ongoing portfolio management through an Asset Allocation Advisory Service, and coordination with clients’ attorneys, accountants, and insurance representatives. The firm typically requires a $500,000 account minimum (with discretionary exceptions) and also offers cash flow management and general financial advisory services to small businesses when requested.
The firm’s investment approach emphasizes strategic asset allocation across stocks, bonds, and cash rather than selection of individual securities, using mutual funds and occasional ETFs to gain broad exposure and applying Modern Portfolio Theory as its framework. DFS relies heavily on Dimensional Fund Advisors funds, reviews accounts quarterly with a low-turnover rebalancing approach, and explicitly uses historical fund data and financial simulation programs to model potential returns and produce computer-generated performance reports for client planning and review.
What is noteworthy in the brochure is the scale and the practice model: DFS reports approximately $1.086 billion in regulatory assets under management with five advisors, implying a high AUM per advisor relative to many team firms, and it leverages third-party relationships (including Buckingham Strategic Partners) for administrative support, practice resources, and sponsored educational events. The combination of formal simulations/hypothetical modeling in planning materials, routine performance reporting, and sponsorship of seminars positions the firm toward larger, education-focused client relationships compared with many peers.
Client services
Expertise
Fee options
$0 - $250,000: 1.50% annually $250,000 - $500,000: 1.00% annually $500,000 - $1,000,000: 0.75% annually $1,000,000 - $2,000,000: 0.55% annually $2,000,000+: 0.40% annually
Administrative fees charged hourly as quoted in unusual situations
Account minimum: $500,000 Fee-only: Administrative fees charged on an hourly or fixed-fee basis as quoted, in some cases
Main office
Lafayette CA
Advisors at this office
6
Most active in
Arizona · California · Nevada · New York · Texas · Washington
Also doing business as
Dixon Financial Services · Dixon Financial 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 active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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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.
Advisors at this firm
Wayne F
Series 63
Lafayette, CA
Dixon Financial Services
Wayne Freeman is a financial advisor with Dixon Financial Services in Lafayette, CA, holding a Series 63 designation and 34 years of industry experience. He has been with Dixon Financial Services since 1995 and also affiliated with Assante Capital Management since 2001. Dixon Financial Services provides investment advisory services to individuals, trustees, charitable organizations, business owners, and corporations. The firm focuses on strategic asset allocation using mutual funds and ETFs within a Modern Portfolio Theory framework and manages approximately $1.086 billion in assets across five advisors.
Walter A
Series 63
Lafayette, CA
Dixon Financial Services
Walter Au is a financial advisor with Dixon Financial Services in Lafayette, CA, holding a Series 63 designation and bringing 30 years of industry experience. He has been with Dixon Financial Services since 2000 and has also worked at Assante Capital Management Inc. since 2001. Dixon Financial Services serves individuals, trustees, charitable organizations, business owners, and corporations by providing individualized investment policy development, ongoing portfolio management, and coordination with other professional advisors. The firm emphasizes strategic asset allocation using mutual funds and ETFs within a Modern Portfolio Theory framework, manages over $1 billion in assets, and offers educational resources and performance reporting to support larger client relationships.
Michael D
Series 63
Lafayette, CA
Dixon Financial Services
Michael Dixon is a financial advisor with Dixon Financial Services, holding a Series 63 designation and 38 years of industry experience. He has worked at Assante Capital Management Inc. since 2001 and has been president and officer of Dixon Financial Services since 1990. Dixon Financial Services serves individuals, trustees, charitable organizations, business owners, and corporations by providing investment advisory services focused on individualized Investment Policy Statements and ongoing portfolio management using a strategic asset allocation approach. The firm manages over $1 billion in assets with a team of five advisors and emphasizes quarterly account reviews, financial simulations, and educational events for its clients.
Cory D
Series 65
Lafayette, CA
Dixon Financial Services
Cory Degraaf is a financial advisor at Dixon Financial Services with a Series 65 designation and two years of industry experience. He has worked at Dixon Financial Services since 2023 and has prior experience with Buckingham Strategic Partners/Loring Ward, Lyft, and Home Goods. Dixon Financial Services serves individuals, trustees, charitable organizations, business owners, and corporations by providing personalized investment advisory services focused on strategic asset allocation and ongoing portfolio management. The firm manages over $1 billion in assets with a team of five advisors and uses a disciplined approach involving Modern Portfolio Theory, Dimensional Fund Advisors funds, and financial simulation programs to support client planning and reporting.
David P
Series 66
Lafayette, CA
Dixon Financial Services
David Potts is a financial advisor at Dixon Financial Services with 8 years of industry experience. He holds a Series 66 designation and has worked at Dimensional Fund Advisors since 2017. Prior to that, he was affiliated with Santa Clara University from 2013 to 2017. Dixon Financial Services provides investment advisory services to individuals, trustees, charitable organizations, business owners, and corporations. The firm emphasizes strategic asset allocation using mutual funds and ETFs, applying Modern Portfolio Theory and relying heavily on Dimensional Fund Advisors funds, with a focus on client education through formal simulations, performance reporting, and sponsored seminars.
Tyler M
Series 65
Lafayette, CA
Dixon Financial Services
Tyler Mullen is a Series 65 licensed advisor with Dixon Financial Services in Lafayette, CA, where he has worked since 2015. He has 10 years of industry experience and is part of a five-advisor team. Dixon Financial Services provides investment advisory services to individuals, trustees, charitable organizations, business owners, and corporations. The firm focuses on strategic asset allocation using mutual funds and ETFs within a Modern Portfolio Theory framework, managing over $1 billion in assets and emphasizing client education through performance reporting and sponsored seminars.
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