DYNASTY WEALTH MANAGEMENT, LLC

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Dynasty Wealth Management is based out of New York. Dynasty Wealth Management is a large advisory firm with 82 clients and discretionary assets under management (AUM) of $803,395,235 (Form ADV from 2018-05-17). Their last reported 13F filing for Q4 2018 included $760,000 in managed 13F securities and a top 10 holdings concentration of 100.0%. Dynasty Wealth Management's largest holding is LyondellBasell Industries NV with shares held of 4,195. Whalewisdom has at least 5 13F filings

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12/31/2018

Top Buys

  • Name% Change

12/31/2018

13F Sector Allocation Over Time

12/31/2018

13F Activity

  • Market Value $760 Thousand
  • Prior Market Value $77.685 Million
  • New Purchases0 stocks
  • Additional Purchases0 stocks
  • Sold out of123 stocks
  • Reduced holdings in3 stocks
  • Top 10 Holdings % 100.00 %
  • Turnover % [1]:4,100.00%
  • Turnover Alt % [2]: 10,101.85 %
  • Time Held Top20:1.33 quarters
  • Time Held Top10:1.33 quarters
  • Time Held All:3.00 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 2019-02-14

Performance for Q4 2018: -0.95%
Performance Last 4 Quarters: 2.0%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 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

DYNASTY WEALTH MANAGEMENT, LLC
1350 AVENUE OF AMERICAS, FLOOR 32
NEW YORK NY    10019
Country: United States

Business Phone: 212-373-1000
Fax: 212-373-1050
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 55
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees,ACTIVITY BASED FEE
Amount of client funds and securities: 65,000,000
Total Number of Clients: 82
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 - Non-derivative Insider Transactions Since 12/31/2018

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DYNASTY WEALTH MANAGEMENT, LLC

ownership team - last updated 2018-05-17
Name Title Start Date Direct/Indirect % Ownership
SWENSON, EDWARD, CHRISTY CHIEF OPERATING OFFICER 03/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
DYNASTY WEALTH MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2010-03-01
DYNASTY FINANCIAL PARTNERS, LLC MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 2010-03-01
DYNASTY FINANCIAL PARTNERS, LLC MANAGING MEMBER direct 2010-03-01
DYNASTY WEALTH MANAGEMENT, LLC PARTNER direct 2010-03-01
AVECTOR WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2012-01-01
AZANCE ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2012-01-01
PENNEY, SHIRL, THOMAS CEO 03/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
DYNASTY WEALTH MANAGEMENT, LLC CEO direct 2010-03-01
DYNASTY FINANCIAL PARTNERS, LLC MANGING MEMBER direct 2010-03-01
DYNASTY WEALTH MANAGEMENT, LLC PARTNER direct 2010-03-01
DYNASTY FINANCIAL PARTNERS, LLC MANAGING MEMBER direct 2010-03-01
DYNASTY WEALTH MANAGEMENT, LLC CEO indirect 2010-03-01
AVECTOR WEALTH MANAGEMENT, LLC MANAGING MEMBER indirect 2010-03-01
AZANCE ASSET MANAGEMENT, LLC MANAGING MEMBER indirect 2010-03-01
APRIL WEALTH ENDEAVOR, LLC MANAGING MEMBER indirect 2010-03-01
BALLAD ADVISORS, LLC MANAGING MEMBER indirect 2010-03-01
THOMSON, TODD, STUART CHAIRMAN 12/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CITIGROUP GLOBAL MARKETS INC. DIRECTOR direct 2004-11-01
CITIGROUP GLOBAL MARKETS INC. CHAIRMAN, CEO - SMITH BARNEY direct 2004-11-01
CITIGROUP GLOBAL MARKETS INC. CHAIRMAN, CEO- SMITH BARNEY direct 2006-11-01
GLOBAL HEDGE STRATEGIES, LLC DIRECTOR direct 2005-05-01
DYNASTY WEALTH MANAGEMENT, LLC CHAIRMAN direct 2010-12-01
BROWN, MICHAEL, CHARLES DIRECTOR OF WEALTH MANAGEMENT 12/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
DYNASTY FINANCIAL PARTNERS, LLC PARTNER direct 2010-12-01
DYNASTY WEALTH MANAGEMENT, LLC DIRECTOR OF WEALTH MANAGEMENT direct 2010-12-01
MORRIS, JONATHAN, RICHARD CHIEF LEGAL AND GOVERNANCE OFFICER 09/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
DYNASTY FINANCIAL PARTNERS, LLC CHIEF LEGAL AND GOVERNANCE OFFICER direct 2012-09-01
DYNASTY FINANCIAL PARTNERS, LLC LLC MEMBER-OWNER 12/01/2012 Direct 75% or more
Fund Name Position direct/indirect start date end date
DYNASTY WEALTH MANAGEMENT, LLC LLC MEMBER-OWNER direct 2012-12-01
WELCH, SCOTT, DAVID CHIEF INVESTMENT OFFICER 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
FORTIGENT, LLC SENIOR MANAGING DIRECTOR direct 2006-11-01
FORTIGENT, INC. VICE PRESIDENT/SECRETARY direct 2006-11-01
FORTIGENT, LLC EVP, CIO direct 2006-11-01
FORTIGENT, LLC VICE PRESIDENT direct 2006-11-01
DYNASTY WEALTH MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2015-06-01
RALLIFORD, JAMIE, S CHIEF COMPLIANCE OFFICER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
DYNASTY WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2017-06-01
EMERSON, JASON, BRADLEY CFO 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
DYNASTY WEALTH MANAGEMENT, LLC CFO direct 2017-07-01
GF-DYNASTY HOLDINGS, LLC LLC MEMBER- OWNER DYNASTY FINANCIAL PARTNERS, LLC 01/01/2016 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
DYNASTY WEALTH MANAGEMENT, LLC LLC MEMBER- OWNER indirect 2016-01-01

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