Dubin Clark & Company, Inc (Boston)

Name: Dubin Clark & Company, Inc
Address: 323 Newbury Street, Boston, MA, 02115 2710
Telephone: 203-629-2030

Dubin Clark & Company, Inc is a large advisory firm based in Boston. It manages $281.41 million of regulatory assets for 14 client accounts. It has been registered with the SEC as an adviser since 2016 and has operated in the jurisdictions of Florida and Massachusetts.

Dubin Clark & Company provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Dubin Clark & Company: assets under management

The assets under management (AUM) of Dubin Clark & Company, Inc is $281.41 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 116% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $281.41 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $20.1 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Dubin Clark & Company, Inc for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Dubin Clark & Company serves?

The only and largest group of clients of Dubin Clark & Company is pooled investment vehicles with 14 clients and $281.41 million of assets under management. Among the 9 most similar advisory firms, Dubin Clark & Company has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $281.41 million for 14 clients. None of the firm’s clients are foreign persons or businesses.

Dubin Clark & Company also advises several private funds. Namely, three private equity funds. The minimum investment commitment required of non-related persons is $1,000,000 for each fund.

Careers at Dubin Clark & Company, Inc

The company employs 11 people that are either part- or full-time employees. 91 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Ronald Nelson Dubin	Founder, shareholder (class a, common)	1 Nov 1984	Other	6640184
Joseph Thomas Clark	Founder, shareholder (class a, common)	1 Nov 1984	Other	6640186
Thomas Joseph Caracciolo	Managing partner, director, president, treasurer, secretary, shareholder (class a, common)	1 Nov 2003	50% - 75%	6640178
Frank John Pados	Partner, director, chairman, vice president, shareholder (class a, common)	1 Nov 2003	25% - 50%	2064115
Brent Lee Paris	Managing partner, vice president, asst. secretary, shareholder (class b, common)	1 Dec 2004	Other	6640179
Michael Paul Hompesch	Partner, vice president, asst. secretary, shareholder (class b, common)	1 Jun 2012	Other	6640180
Michelle Marie Cummings	Cfo/cco	1 Oct 2015	Other	6640183
Michelle Marie Richter	Cfo/cco	1 Oct 2015	Other	6640183

Based in Boston

The principal office where Dubin Clark & Company, Inc performs its advisory services is located at 323 Newbury Street, Boston, MA 02115 2710, which is also the mailing address of the firm. An additional office of the firm is in Ponte Vedra Beach, FL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 203-629-2030. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at dubinclark.com.