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Dak H Spivey

Corient

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About Dak H Spivey

Dak Spivey is an investment advisor representative with Corient, a firm with offices in Newport Beach, California and Miami, Florida. Dak Spivey has been in the industry for 6 years. Corient has a large number of clients, including high net worth individuals, charitable organizations, and corporations. The firm provides a variety of services including financial planning, pension consulting, and portfolio management.

Firm Information

Dak Spivey is currently registered with Corient. Corient, headquartered in Miami, FL, is an investment advisor with over 476 investment advisory professionals. They manage approximately $118 billion in assets for a wide range of clients including high-net-worth individuals, corporations, charitable organizations, pooled investment vehicles, and pension plans. Their services include financial planning, portfolio management, pension consulting, and educational seminars. Corient is registered with the SEC under the SEC number 801-124978.
Corient

2 S BISCAYNE BLVD

MIAMI, FL 33131

$118.19B

Assets Under Management

1,341

Total Clients

452

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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other

% of assets under advisement

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Dak Spivey’s Registration & Firm History

CA

08/10/2023 - Present

Corient (Newport Beach CA)

CA

07/28/2022 - 06/30/2023

CETERA ADVISOR NETWORKS LLC (NEWPORT BEACH CA)

CA

06/08/2020 - 05/18/2022

MORGAN STANLEY (Burlingame CA)

TX

11/30/2017 - 05/26/2020

UBS FINANCIAL SERVICES INC. (AUSTIN TX)

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Licenses & Designations

BOTH

Issued 01/12/2018

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/30/2017

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Dak H Spivey.
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