SourcingSourcing

DALE K. EHRHART, INC.

B57
CRD 35971·SEC 801-13542·VENICE, FL
AUM
$648.8M
$500M-$1B
Est. Revenue
$6.5M
@ 1% on AUM
Est. EBITDA
$1.9M
@ 30% margin
Est. Deal Value
$15.6M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
DALE K. EHRHART, INC.
CRD
35971
SEC file #
801-13542
EIN
593587122
DBA names
—

Economics

AUM
$648.8M
AUM band
$500M-$1B
AUM trajectory
'20'26
$569.7M → $648.8M▲ +14%
Client mix
Individuals High Net Worth92
Individuals Other22
Charitable Organizations11
Corporations11
Pension Profit Sharing Plans3

Operations

Employees (total)
6
Advisory staff (per ADV)
4
Advisory staff (5-yr trend)
'20'26
3 advisors → 4 advisors▲ +33%
Primary office
VENICE FL
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — businessesEducational Seminars Workshops
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
03/29/2026
ADV-W filed at
—
Website
dkeinc.com

Compliance

Disclosures (firm)
1
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
HARTLEY, MICHAEL, THOMAS
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
3
Control Persons
HARTLEY, MICHAEL, THOMAS
Hartley, Bonnie, Brown
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
DKEINC.COM
Rdap Domain Creation Date
1996-04-02T05:00:00Z
Rdap Firm Age Years
30
Rdap Firm Age Band
20+y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001966355
Edgar Registered
Yes
Edgar Filing Count
16
Edgar First Filing Date
2023-02-22
Edgar Last Filing Date
2026-05-08
Edgar 13f Count
14
Edgar 13f Latest AUM Estimate
Filing Date2026-05-08
Accession0001966355-26-000002

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.3223
Soi Zip Pct 200k Plus
0.121
Soi Zip Returns 200k Plus
1,100
Soi Zip Total AGI
1,481,813
Fdic Zip Total Deposits
28,895,332,000
Fdic Zip Branch Count
423
Fdic Zip Top Banks
Wells Fargo Bank, National Association
JPMorgan Chase Bank, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (27)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
4
Bc Firm IAR Count
4
Custodian Candidates
Full
Charles Schwab6
E*trade4
Fidelity2
Edgar Addresses
Mailing
3208 E COLONIAL DRIVE #308ORLANDO, FL 32803-5127
Business
7900 E UNION AVE, SUITE 1100DENVER, CO 80237
Edgar EIN
593587122
Edgar Recent Filings
13F-HR2026-05-08 · 0001966355-26-000002
13F-HR2026-02-13 · 0001966355-26-000001
Fdic Zip Branches Raw
NationsBank of Florida, N.A.Venice, FL
Republic BankVenice, FL
Fdic Zip HHI
555.02
Fdic Zip Top Bank Share Pct
13.01
Fdic Zip Year
2025
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-04-03T04:00:00Z
Rdap Domain Last Changed
2026-04-03T14:49:53Z
Rdap Nameservers
Ns25.domaincontrol.comNs26.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI26,637
Returns2,150
Stub 2
AGI65,840
Returns1,780
Stub 3
AGI79,575
Returns1,280
Soi Zip Total Business Income
27,998
Soi Zip Total Cap Gains
276,047
Soi Zip Total Dividends
89,242
Soi Zip Total Returns
9,090
Top Owner CRD
1522614
Trust Company Affiliate
No

People (5)

5
HARTLEY, MICHAEL, THOMAS
IAR · Direct Owner · 87.5%
1522614
HARTLEY, MICHAEL, WARREN
IAR · Direct Owner · 7.5%
4828732
Hartley, Bonnie, Brown
Direct Owner · 7.5%
6894411
Zachery John Jaggi
IAR
7931845
KEITH EDWARD HEIL
IAR
4524970