Dubois Capital Management LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
The firm provides discretionary asset management, financial planning and consulting, and public educational seminars and workshops to individual and business clients. It currently manages roughly $70,000 of client assets for one client and offers ongoing portfolio monitoring, trade execution, and regular client check-ins.
Investment decisions are tailored to each client’s stated goals, time horizon and risk tolerance and draw on both fundamental and technical analysis; strategies can range from long-term holdings to shorter-term trading and options when appropriate. The adviser may manage accounts directly or subscribe to third‑party model portfolios via its custodial platform, and conducts periodic (quarterly) reviews and ongoing monitoring.
Distinctive aspects include the firm’s routine offering of public seminars and workshops—an uncommon service among peer independent advisers—and its very small scale of operations. The firm also discloses that the owner devotes a substantial portion of time to an unrelated outside business (with no crossover clients) and that it may utilize third-party model providers whose fees and terms are disclosed to clients.
Client services
Expertise
Fee options
Financial planning and consulting fees range from $500 to $5,000 based on complexity
up to 1.25% annually (negotiable based on various criteria)
Account minimum: $100,000 minimum (may be lowered or waived in certain instances) Fee-only: Asset management fees up to 1.25% annually; Fixed fees for financial planning $500-$5,000; Seminar fees $100 per person
Main office
Saratoga Springs NY
Advisors at this office
1
Most active in
New York
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.
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