D.A. Flowers & Company, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$50,010,935
Clients
38
11% 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
38
HighAverage account size
$1,316,077
About
D.A. Flowers & Company, LLC provides investment management and personal financial planning on a fee‑only basis, managing $50,010,935 in discretionary assets for 38 clients. Its client base includes individuals as well as pension and profit‑sharing plans, trusts, estates and charitable organizations.
The firm typically integrates a year‑long, collaborative planning process with ongoing portfolio management and prepares an Investment Policy Statement for each client. Investment management follows a Modern Portfolio Theory approach using mean‑variance optimization across up to ten asset classes, with an emphasis on diversification, low turnover, cost control and tax efficiency.
Noteworthy for a single‑advisor practice, the firm accepts charitable organizations and other institutional account types in addition to individual households. It manages client accounts on a discretionary basis and documents practices through written policies (e.g., IPS, Code of Ethics, personal trading policy) and a custodial relationship with a low‑cost custodian.
Client services
Financial planning
Portfolio management
Expertise
General retirement planning
General tax planning
Wealth management
Retirement withdrawal strategies
Fee options
Comprehensive Financial Plan typically costs $3,900 including up to 20 hours of professional time over the first year.
$0 - $1,000,000: 1.00% annually $1,000,000 - $2,000,000: 0.75% annually $2,000,000 - $5,000,000: 0.50% annually $5,000,000+: 0.25% annually
$250 per hour with a $500 minimum for limited scope financial planning projects.
Account minimum: $350,000 Minimum fee: $3,500 per year minimum annual fee for investment management Fee-only: Firm is fee-only; compensated only by fees charged to clients, no commissions received.
Main office location
D.A. Flowers & Company, LLC
1400 Shattuck Ave Ste 5
Berkeley CA 94709-1485, United States
Number of offices
1
Most active in
D.A. Flowers & Company, LLC has reported serving >5 clients in these states in the last 12 months.
California
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.
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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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