Pettus & Dawkins Financial Group, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Pettus & Dawkins Financial Group, LLC is a small, registered investment adviser that provides discretionary portfolio management and financial planning to individual clients, including high-net-worth individuals, and reports managing roughly $11.6 million for about 35 clients. The firm generally charges asset-based fees for ongoing portfolio management and offers fixed-fee or hourly arrangements for financial planning.
The firm documents client goals and risk tolerances in an Investment Policy Statement and typically seeks discretionary authority to implement both long- and short-term trading strategies across mutual funds, fixed income, real estate funds (including REITs), equities, annuities and private placements. PDFG employs a broad set of analytical methods—charting, cyclical, fundamental, quantitative and modern portfolio theory—and provides ongoing monitoring with quarterly custodial reporting.
A distinctive feature is the firm’s affiliation with an insurance business and the fact that its supervised persons are licensed insurance agents, which the brochure discloses can create incentives to recommend commissionable insurance products and which the firm says it manages through disclosure and periodic review. The brochure also notes the firm requires clients to use a designated broker-dealer/custodian and does not utilize third‑party advisers or wrap fee programs, practices that differ from many similarly sized peers.
Client services
Expertise
Fee options
Fixed fees between $1,000 and $10,000
$1 - $99,999: 1.60% $100,000 - $249,999: 1.50% $250,000 - $499,999: 1.40% $500,000 - $749,999: 1.30% $750,000 - $999,999: 1.25% $1,000,000+: 1.00%
$250 to $500 per hour
Fee-only: Fixed fees between $1,000 and $10,000; Hourly fees between $250 and $500
Main office
Miami FL
Advisors at this office
1
Most active in
Florida · Texas
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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