Dominic Defazio
Dominic Defazio is a CFP-designated registered investment advisor at Fifth Third Securities, INC., based in Wauconda, IL, with 20 years of industry experience. Dominic is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management, Retirement Planning. Their firm serves 47,014 clients with $11B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 1.50% |
| $250K - $500K | 1.35% |
| $500K - $750K | 1.25% |
| $750K - $1.0M | 1.10% |
| $1.0M - $2.0M | 1.00% |
| $2M+ | 0.80% |
Fees are negotiable. Maximum fee is 1.50%.
Fee Estimator
Location
472 West Liberty Street, Wauconda, IL, 60084
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Dominic owns Aqua Body Floats, where he designs upholstery for recreational activities. This non-investment related activity takes a few hours per week and will not interfere with his duties at the firm.
Employment History
Current Registrations
Fifth Third Securities, INC.
Fifth Third Securities, INC.Broker
Previous Registrations
Firstmerit Financial Services, INCBroker
Midwest Financial and Investment Services, INC.Broker
State Registrations22 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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