Daus Financial Group, LLC (hereinafter called “DFG”) is a Registered Investment Adviser
based in Kalamazoo, Michigan, and incorporated under the laws of the State of Michigan. DFG
is wholly owned by Ryan Daus. DFG is registered with the SEC and subject to the rules and
regulations of the US Advisers Act. Founded in March 2023, DFG provides investment advisory
services, which may include, but are not limited to, the review of client investment objectives
and goals, recommending asset allocation strategies of managed assets among investment
products such as cash, stocks, mutual funds and bonds, annuities, and/or preparing written
investment strategies. Our investment advice is tailored to meet our clients’ needs and
investment objectives. Clients may impose restrictions on investing in certain securities or types
of securities (such as a product type, specific companies, specific sectors, etc.) by providing a
signed and dated written notification, of which an e-mail is also an acceptable form of
notification. DFG also provides financial planning consulting services including, but not limited
to, risk assessment/management, investment planning, estate planning, financial organization, or
financial decision making/negotiation.
DFG provides investment advisory and other financial services through its Investment Advisory
Representatives ("IAR") to accounts opened with DFG. Managed Accounts are available to
individuals and high net worth individuals.
Private (Alternative) Investments
DFG gives certain clients the option of investing in private investments, such as private equity
funds, venture funds and hedge funds. Due to strict regulatory requirements, only certain clients
may invest in private investments. The clients must be classified as “accredited investors”, who
are generally
clients that have over $1 million in total net worth, or individual income of greater
than $200,000 the previous 2 years and expect to do the same the current year, or the client and
spouse had a combined income of $300,000 per year the previous 2 years and expect to do the
same the current year. Accredited investors are permitted to invest in private investments but
may NOT be charged performance-based fees. Please see Item 6 – Performance-Based Fees and
Side-By-Side Management below, which confirms DFG does not charge performance-based fees
for any of our clients.
DFG provides discretionary and non-discretionary investment advisory services to some of its
clients through various managed account programs. DFG will assist clients in determining the
suitability of the Managed Account Programs for the client. The IAR is compensated through a
comprehensive single fee and the account may be assessed other charges associated with
conducting a brokerage business. DFG and its IAR, as appropriate, will be responsible for the
following:
• Performing due diligence
• Recommending strategic asset and style allocations
• Providing research on investment product options, as needed
• Providing client risk profile questionnaire
• Obtaining investment advisory contract from client with required financial, risk tolerance,
suitability and investment vehicle selection information for each new account
• Performing client suitability check on account documentation, review the investment
objectives and evaluate the investment vehicle selections
• Providing Firm Brochure (this document)
As of June 1, 2023, the firm has the following Assets Under Management:
Discretionary AUM - $0
Non-Discretionary AUM - $120,000,000.00
Form ADV, Part 2A, Item 5