Dean Financial Services, Llc
- Regulatory AUM
- $382M
- Discretionary
- $382M
- Clients
- 277
- Avg AUM / client
- $1.4M
- Accounts
- 525
- Employees
- 9
AUM over time
Annual snapshots from Form ADV filings · as of Mar 27, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 225 | $144M | 37.7% |
| High net worth individuals | 20 | $83.7M | 21.9% |
| Pension and profit sharing plans | 32 | $132M | 34.5% |
| Charitable organizations | Fewer than 5 clients | $3.3M | 0.87% |
| Corporations and other businesses | Fewer than 5 clients | $19.1M | 5.0% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Fred J. Miller, Inc. 401(k) Plan Fred J. Miller, Inc. | 2024 |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Stephen Michael Miller | Ceo, President | Nov 2003 (23y) | Less than 5% | |
| Rindler, Debra, Elizabeth | Secretary/Treasurer/Chief Compliance Officer/Chief Financial Officer | Oct 2005 (21y) | Less than 5% | |
| Miller, Pamala, Jane | Vice President, Chief Operating Officer | Feb 2016 (11y) | Less than 5% | |
| Beth Jean Verdoorn | Registered representative | CFP | Oct 2004 (22y) | |
| Matthew Thomas Wallace | Registered representative | Nov 2015 (11y) | ||
| Zachary Paul Haberman | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| C.H. Dean, Llc (F/K/A C.H. Dean, Inc.) | Llc Memeber | Dec 2012 | A | 75% or more |
| The C.H. Dean Companies, Llc | Llc Member | Dec 2012 | B | 75% or more of C.H. Dean, Llc (indirect) |
| Terence M. Dean Trust Dated 2/24/2016 | Llc Member | Mar 2016 | B | 25% – 50% of The C.H. Dean Companies, Llc (indirect) |
| Dennis D. Dean Trust Dated 7/25/2023 | Llc Member | Mar 2016 | B | 25% – 50% of The C.H. Dean Companies, Llc (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Fred J. Miller, Inc. 401(k) Plan | Fred J. Miller, Inc. | 121 | $3.6M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/27/2026 | 1.1 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- National Financial Services (Fidelity) $227M (60% of AUM) Mar 2026
- TD Ameritrade $124M (60% of AUM) Dec 2020
- Matrix Trust Company $115M (30% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 27, 2026.
View current Form ADV (SEC/IAPD) ↗