D.B. ROOT & COMPANY, LLC

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D.b. Root & Company is based out of Pittsburgh. D.b. Root & Company is a large advisory firm with 885 clients and discretionary assets under management (AUM) of $644,271,941 (Form ADV from 2019-07-25). Their last reported 13F filing for Q4 2019 included $227,043,000 in managed 13F securities and a top 10 holdings concentration of 34.12%. D.b. Root & Company's largest holding is Schwab U.S. Large-Cap ETF with shares held of 203,481. Whalewisdom has at least 10 13F filings

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12/31/2019

13F Sector Allocation Over Time

12/31/2019

13F Activity

  • Market Value $227.043 Million
  • Prior Market Value $214.665 Million
  • New Purchases12 stocks
  • Additional Purchases74 stocks
  • Sold out of11 stocks
  • Reduced holdings in99 stocks
  • Top 10 Holdings % 34.12 %
  • Turnover % [1]:11.92%
  • Turnover Alt % [2]: 6.13 %
  • Time Held Top20:5.15 quarters
  • Time Held Top10:5.40 quarters
  • Time Held All:6.22 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 7.1%
Performance Last 4 Quarters: 17.0%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 2019-12-31 - 13F-HR (Subscription required)
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR/A (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

D.B. ROOT & COMPANY, LLC
436 SEVENTH AVENUE SUITE 2800
PITTSBURGH PA    15219
Country: United States

Business Phone: 412-227-2800
Fax: 412-227-2805
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Pension consultant
Form of Organization: Limited Liability Company
Organized in: PA
Number of employees: 21
Other Business Activities: insurance broker or agent
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees
Amount of client funds and securities: 188,204,000
Total Number of Clients: 885
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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D.B. ROOT & COMPANY, LLC

ownership team - last updated 2019-07-25
Name Title Start Date Direct/Indirect % Ownership
OSTROWSKI, HEATHER, ANN CHIEF FINANCIAL OFFICER 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
BARDOUGNE WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2015-08-01
ROOT, DAVID, BOND CHIEF EXECUTIVE OFFICER AND ELECTED MANAGER 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
D.B. ROOT & COMPANY, INC. CEO direct 1994-05-01
DB ROOT & COMPANY, INC. CHIEF EXECUTIVE OFFICER AND ELECTED MANAGER direct 2015-08-01
D.B. ROOT & COMPANY, LLC SHAREHOLDER indirect 2017-07-01
BARDOUGNE WEALTH MANAGEMENT, LLC MANAGING MEMBER direct 2015-08-01 2015-09-01
DB ROOT & COMPANY, INC. CHIEF EXECUTIVE OFFICER direct 2015-08-01 2017-05-02
DB ROOT & COMPANY, INC. SHAREHOLDER indirect 2017-07-01 2017-07-25
D.B. ROOT MANAGEMENT, INC. PARENT HOLDING COMPANY 07/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
DB ROOT & COMPANY, INC. PARENT HOLDING COMPANY indirect 2017-07-01
D.B. ROOT & COMPANY, LLC PARENT HOLDING COMPANY direct 2017-07-01
LANDUCCI, JODI, LYNN CHIEF COMPLIANCE OFFICER 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
D.B. ROOT & COMPANY, LLC CHIEF COMPLIANCE OFFICER direct 2019-07-01
ROOT, DAVID, BOND SHAREHOLDER D.B. ROOT MANAGEMENT, INC. 07/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
D.B. ROOT & COMPANY, INC. CEO direct 1994-05-01
DB ROOT & COMPANY, INC. CHIEF EXECUTIVE OFFICER AND ELECTED MANAGER direct 2015-08-01
D.B. ROOT & COMPANY, LLC SHAREHOLDER indirect 2017-07-01
BARDOUGNE WEALTH MANAGEMENT, LLC MANAGING MEMBER direct 2015-08-01 2015-09-01
DB ROOT & COMPANY, INC. CHIEF EXECUTIVE OFFICER direct 2015-08-01 2017-05-02
DB ROOT & COMPANY, INC. SHAREHOLDER indirect 2017-07-01 2017-07-25

D.B. ROOT & COMPANY, LLC

ownership team - last updated 2019-04-17
Name Title Start Date Direct/Indirect % Ownership
OSTROWSKI, HEATHER, ANN CHIEF COMPLIANCE OFFICER 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
BARDOUGNE WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2015-08-01
ROOT, DAVID, BOND CHIEF EXECUTIVE OFFICER AND ELECTED MANAGER 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
D.B. ROOT & COMPANY, INC. CEO direct 1994-05-01
DB ROOT & COMPANY, INC. CHIEF EXECUTIVE OFFICER AND ELECTED MANAGER direct 2015-08-01
D.B. ROOT & COMPANY, LLC SHAREHOLDER indirect 2017-07-01
BARDOUGNE WEALTH MANAGEMENT, LLC MANAGING MEMBER direct 2015-08-01 2015-09-01
DB ROOT & COMPANY, INC. CHIEF EXECUTIVE OFFICER direct 2015-08-01 2017-05-02
DB ROOT & COMPANY, INC. SHAREHOLDER indirect 2017-07-01 2017-07-25
D.B. ROOT MANAGEMENT, INC. PARENT HOLDING COMPANY 07/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
DB ROOT & COMPANY, INC. PARENT HOLDING COMPANY indirect 2017-07-01
D.B. ROOT & COMPANY, LLC PARENT HOLDING COMPANY direct 2017-07-01
ROOT, DAVID, BOND SHAREHOLDER D.B. ROOT MANAGEMENT, INC. 07/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
D.B. ROOT & COMPANY, INC. CEO direct 1994-05-01
DB ROOT & COMPANY, INC. CHIEF EXECUTIVE OFFICER AND ELECTED MANAGER direct 2015-08-01
D.B. ROOT & COMPANY, LLC SHAREHOLDER indirect 2017-07-01
BARDOUGNE WEALTH MANAGEMENT, LLC MANAGING MEMBER direct 2015-08-01 2015-09-01
DB ROOT & COMPANY, INC. CHIEF EXECUTIVE OFFICER direct 2015-08-01 2017-05-02
DB ROOT & COMPANY, INC. SHAREHOLDER indirect 2017-07-01 2017-07-25

D.B. ROOT & COMPANY, LLC

ownership team - last updated 2019-02-22
Name Title Start Date Direct/Indirect % Ownership
OSTROWSKI, HEATHER, ANN CHIEF COMPLIANCE OFFICER 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
BARDOUGNE WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2015-08-01
ROOT, DAVID, BOND CHIEF EXECUTIVE OFFICER AND ELECTED MANAGER 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
D.B. ROOT & COMPANY, INC. CEO direct 1994-05-01
DB ROOT & COMPANY, INC. CHIEF EXECUTIVE OFFICER AND ELECTED MANAGER direct 2015-08-01
D.B. ROOT & COMPANY, LLC SHAREHOLDER indirect 2017-07-01
BARDOUGNE WEALTH MANAGEMENT, LLC MANAGING MEMBER direct 2015-08-01 2015-09-01
DB ROOT & COMPANY, INC. CHIEF EXECUTIVE OFFICER direct 2015-08-01 2017-05-02
DB ROOT & COMPANY, INC. SHAREHOLDER indirect 2017-07-01 2017-07-25
D.B. ROOT MANAGEMENT, INC. PARENT HOLDING COMPANY 07/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
DB ROOT & COMPANY, INC. PARENT HOLDING COMPANY indirect 2017-07-01
D.B. ROOT & COMPANY, LLC PARENT HOLDING COMPANY direct 2017-07-01
ROOT, DAVID, BOND SHAREHOLDER D.B. ROOT MANAGEMENT, INC. 07/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
D.B. ROOT & COMPANY, INC. CEO direct 1994-05-01
DB ROOT & COMPANY, INC. CHIEF EXECUTIVE OFFICER AND ELECTED MANAGER direct 2015-08-01
D.B. ROOT & COMPANY, LLC SHAREHOLDER indirect 2017-07-01
BARDOUGNE WEALTH MANAGEMENT, LLC MANAGING MEMBER direct 2015-08-01 2015-09-01
DB ROOT & COMPANY, INC. CHIEF EXECUTIVE OFFICER direct 2015-08-01 2017-05-02
DB ROOT & COMPANY, INC. SHAREHOLDER indirect 2017-07-01 2017-07-25

D.B. ROOT & COMPANY, LLC

ownership team - last updated 2018-11-05
Name Title Start Date Direct/Indirect % Ownership
OSTROWSKI, HEATHER, ANN CHIEF COMPLIANCE OFFICER 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
BARDOUGNE WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2015-08-01
ROOT, DAVID, BOND CHIEF EXECUTIVE OFFICER AND ELECTED MANAGER 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
D.B. ROOT & COMPANY, INC. CEO direct 1994-05-01
DB ROOT & COMPANY, INC. CHIEF EXECUTIVE OFFICER AND ELECTED MANAGER direct 2015-08-01
D.B. ROOT & COMPANY, LLC SHAREHOLDER indirect 2017-07-01
BARDOUGNE WEALTH MANAGEMENT, LLC MANAGING MEMBER direct 2015-08-01 2015-09-01
DB ROOT & COMPANY, INC. CHIEF EXECUTIVE OFFICER direct 2015-08-01 2017-05-02
DB ROOT & COMPANY, INC. SHAREHOLDER indirect 2017-07-01 2017-07-25
D.B. ROOT MANAGEMENT, INC. PARENT HOLDING COMPANY 07/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
DB ROOT & COMPANY, INC. PARENT HOLDING COMPANY indirect 2017-07-01
D.B. ROOT & COMPANY, LLC PARENT HOLDING COMPANY direct 2017-07-01
ROOT, DAVID, BOND SHAREHOLDER D.B. ROOT MANAGEMENT, INC. 07/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
D.B. ROOT & COMPANY, INC. CEO direct 1994-05-01
DB ROOT & COMPANY, INC. CHIEF EXECUTIVE OFFICER AND ELECTED MANAGER direct 2015-08-01
D.B. ROOT & COMPANY, LLC SHAREHOLDER indirect 2017-07-01
BARDOUGNE WEALTH MANAGEMENT, LLC MANAGING MEMBER direct 2015-08-01 2015-09-01
DB ROOT & COMPANY, INC. CHIEF EXECUTIVE OFFICER direct 2015-08-01 2017-05-02
DB ROOT & COMPANY, INC. SHAREHOLDER indirect 2017-07-01 2017-07-25

D.B. ROOT & COMPANY, LLC

ownership team - last updated 2018-04-20
Name Title Start Date Direct/Indirect % Ownership
OSTROWSKI, HEATHER, ANN CHIEF COMPLIANCE OFFICER 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
BARDOUGNE WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2015-08-01
ROOT, DAVID, BOND CHIEF EXECUTIVE OFFICER AND ELECTED MANAGER 08/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
D.B. ROOT & COMPANY, INC. CEO direct 1994-05-01
DB ROOT & COMPANY, INC. CHIEF EXECUTIVE OFFICER AND ELECTED MANAGER direct 2015-08-01
D.B. ROOT & COMPANY, LLC SHAREHOLDER indirect 2017-07-01
BARDOUGNE WEALTH MANAGEMENT, LLC MANAGING MEMBER direct 2015-08-01 2015-09-01
DB ROOT & COMPANY, INC. CHIEF EXECUTIVE OFFICER direct 2015-08-01 2017-05-02
DB ROOT & COMPANY, INC. SHAREHOLDER indirect 2017-07-01 2017-07-25
D.B. ROOT MANAGEMENT, INC. PARENT HOLDING COMPANY 07/01/2017 Direct 75% or more
Fund Name Position direct/indirect start date end date
DB ROOT & COMPANY, INC. PARENT HOLDING COMPANY indirect 2017-07-01
D.B. ROOT & COMPANY, LLC PARENT HOLDING COMPANY direct 2017-07-01
ROOT, DAVID, BOND SHAREHOLDER D.B. ROOT MANAGEMENT, INC. 07/01/2017 Indirect 75% or more
Fund Name Position direct/indirect start date end date
D.B. ROOT & COMPANY, INC. CEO direct 1994-05-01
DB ROOT & COMPANY, INC. CHIEF EXECUTIVE OFFICER AND ELECTED MANAGER direct 2015-08-01
D.B. ROOT & COMPANY, LLC SHAREHOLDER indirect 2017-07-01
BARDOUGNE WEALTH MANAGEMENT, LLC MANAGING MEMBER direct 2015-08-01 2015-09-01
DB ROOT & COMPANY, INC. CHIEF EXECUTIVE OFFICER direct 2015-08-01 2017-05-02
DB ROOT & COMPANY, INC. SHAREHOLDER indirect 2017-07-01 2017-07-25

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