Financial Perspectives, Inc.
- Regulatory AUM
- $1.2B
- Discretionary
- $1.2B
- Clients
- 737
- Avg AUM / client
- $1.6M
- Accounts
- 1,852
- Employees
- 14
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 25, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 425 | $115M | 9.84% |
| High net worth individuals | 309 | $1.0B | 89.6% |
| Charitable organizations | 2 | $6.0M | 0.52% |
| Corporations and other businesses | 1 | $2.2K | 0.0% |
People (14)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Daniel James Dugan | President | Apr 2005 (21y) | 75% or more | |
| David William Dugan | Vice President/Secretary/Treasurer | CFP | Apr 2005 (21y) | Less than 5% |
| Nicole Lynn Wilken | Chief Compliance Officer | Apr 2010 (16y) | Less than 5% | |
| Lisa Kay Johnson | Registered representative | Dec 2013 (13y) | ||
| Steven Howard Loheit | Registered representative | Dec 2013 (13y) | ||
| Marrissa Sue Svenningsen | Registered representative | Dec 2013 (13y) | ||
| Jennifer Marie Lachinski | Registered representative | Jul 2014 (12y) | ||
| Austin W Mandelkow | Registered representative | CFP | Dec 2018 (8y) | |
| Justin J Marvin | Registered representative | CFP | Jul 2019 (7y) | |
| Allison Lezette Dugan | Registered representative | CFP | Aug 2019 (7y) | |
| Cayden Andrew Saxon | Registered representative | Jun 2024 (2y) | ||
| Luke Michael Dugan | Registered representative | Jan 2026 (1y) | ||
| Matthew Steven Johnson | Registered representative | Jan 2026 (1y) | ||
| Olivia Nicole Drey | Registered representative | Jun 2026 (0y) |
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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/25/2026 | 1.05 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
- • Other services
Custody
Reported custodians
- National Financial Services (Fidelity) $1.2B (100% 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 25, 2026.
View current Form ADV (SEC/IAPD) ↗