Dumaine Investments LLC
Registered investment adviser · New Orleans, LA · CRD #306481
Form ADV data as of 2026-09-01Regulatory assets
$227.0 million
Total accounts
356
Employees
4
Disclosure events
0
Firm details
- Website: https://dumaineinvestments.com/
- Telephone: 504-521-7350
- SEC file number: 801-117762
- Most recent Form ADV filing: 2026-03-24
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $171.6 million |
| Non-discretionary regulatory assets under management | $55.4 million |
| Total regulatory assets under management | $227.0 million |
| Discretionary accounts | 335 |
| Non-discretionary accounts | 21 |
| Total accounts | 356 |
| Regulatory assets under management attributable to non-U.S. persons | $0 |
People
| Total employees (excluding clerical) | 4 |
| Employees performing investment advisory functions (including research) | 2 |
| Employees who are registered representatives of a broker-dealer | 0 |
| Employees registered as investment adviser representatives with a state | 2 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 0 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | Yes |
| Has custody of client securities | Yes |
| Client funds and securities held in the firm's custody | $560,038 |
| Clients for whom the firm has custody | 1 |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| Client funds and securities held in a related person's custody | $0 |
| Clients for whom a related person has custody | 0 |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
| Number of persons acting as qualified custodians for the firm's clients | 2 |
How the firm is compensated
Advisory services offered
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys or sells for itself securities it also recommends to clients
- Recommends brokers or dealers to clients
- Provides employee compensation specifically for obtaining clients
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 81 | $25.5 million |
| High net worth individuals | 52 | $126.9 million |
| Corporations or other businesses not listed above | 10 | $31.0 million |
| Other | 13 | $43.6 million |