Dvorchak & Associates
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Dvorchak & Associates is a state-registered independent investment adviser that provides financial planning, investment counsel and portfolio management to a small client base that includes individuals, corporations, business entities, trusts and estates. The firm reports approximately $4.56 million in discretionary assets under management across a limited number of accounts and occasionally offers generic financial workshops with little or no fee to attendees.
The sole investment adviser establishes an investment profile through interviews and questionnaires and implements tailored, typically discretionary, portfolios using a mix of fundamental and technical analysis; strategies can include long- and short-term purchases, and—when approved—options and margin trading. The firm also uses outside resources and third-party managers, referring some advisory clients to portfolios managed through a working agreement with a third‑party manager and executing transactions via Axos Advisor Services while custodial relationships may include Interactive Brokers.
Noteworthy for a solo independent adviser, the firm’s principal maintains active insurance sales activities and is licensed as an insurance agent, receiving commissions on insurance products (a conflict the firm discloses and addresses in its Code of Ethics). The practice of referring client assets to third‑party managed portfolios and maintaining relationships that involve other investment‑adviser entities is also an uncommon feature among peer independent, single‑advisor firms.
Client services
Expertise
Fee options
Financial planning fees ranging from $500 up to $8,000 depending on complexity
0.10% to 1.50% annually (10 to 150 basis points), negotiable
Commissions earned on insurance products sold by the advisor, separate from advisory fees
Fee-only: Advisory fees charged as percentage of AUM; financial planning fees charged separately
Main office
Highlands Ranch CO
Advisors at this office
1
Most active in
Colorado
Also doing business as
B.Kathleen Dvorchak, LLC · Dvorchak & Assoc · Dvorchak & Associates · Dvorchak Financial Corporation
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.
Forms ADV
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