M
Moore, Dorothea Jane
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$28,447,826
Clients
19
42% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
19
TypicalAverage account size
$1,497,254
About
The firm provides continuous portfolio management and limited investment consulting to individuals, trusts, estates, pension and profit‑sharing plans, and corporations. It manages approximately $28.5 million across 19 client relationships, focusing on a relatively small number of larger accounts.
Investment decisions are guided by an asset‑allocation framework and a cycle discipline that combines fundamental and technical analysis with quantitative measures and position limits (initial positions generally capped at 5% at cost and rebalanced around 10%). The firm typically operates under discretionary authority via a limited power of attorney, maintains a long‑term holding horizon, and may employ options strategies—chiefly selling covered calls—to generate income and mitigate short‑term downside.
Distinctive features include a principal who holds the CFA designation and long industry tenure with the firm established in 2002, an explicit policy refusing third‑party sales compensation or commissions, and an institutional custody and platform relationship that provides technology and research support. The firm issues its own portfolio reports in addition to custodian statements and offers separate consulting engagements and occasional non‑discretionary arrangements.
Client services
Portfolio management
Investment consulting
Expertise
Options & derivatives strategies
Active portfolio management
Fee options
Flat fee for one-time consulting projects may be negotiated
$0 - $2,500,000: 1.00% $2,500,001 - $5,000,000: 0.75% $5,000,001+: 0.60%
$200 per hour
Account minimum: $300,000
Main office location
Moore, Dorothea Jane
Centennial CO, United States
Number of offices
1
Most active in
Moore, Dorothea Jane has reported serving >5 clients in these states in the last 12 months.
Colorado
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
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.
-
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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