What DAI Securities does

DAI Securities is a private, advisor-owned independent broker-dealer and registered investment adviser headquartered at 2800 Century Pkwy NE, Suite 650, Atlanta, GA. The firm operates through two affiliated entities — DAI Securities, LLC (a FINRA member broker-dealer, SIPC-covered) and DAI Wealth, LLC (an SEC-registered investment adviser) — and serves independent financial advisors and their high-net-worth clients. DAI's core offering combines a full broker-dealer platform (traditional brokerage accounts, mutual funds, annuities, fixed income, ETFs, self-directed IRAs) with alternative investment distribution (1031 exchanges, non-traded REITs and BDCs, private equity, hedge funds, real estate) and an asset management platform delivered through separately managed accounts (SMAs), unified managed accounts (UMAs), mutual fund wrap programs, and advisor-directed custom portfolios.

The underlying technology stack is assembled from third-party partnerships rather than proprietary development: AIX handles new business workflows with built-in e-signature and compliance routing; ComplySci manages outside business activities, licensing, and marketing material review; ShareFile provides compliant document storage and e-signature; PureFacts delivers real-time commission and licensing dashboards; AI Insight supplies alternative-investment education modules; and Envestnet, SmartX, and Adhesion power proposal generation, portfolio analysis, performance reporting, and research. Clearing and execution run through Axos Clearing. The platform is positioned around Microsoft Office 365 and Microsoft Teams for productivity and advisor collaboration.

DAI earns revenue from three streams: (1) transaction commissions on securities trades and product placements executed by advisors, (2) recurring investment advisory fees on assets managed through DAI Wealth's SMA/UMA and wrap programs, and (3) transaction and distribution fees on alternative investment product placements including 1031 exchanges, private equity, and non-traded REITs/BDCs. Go-to-market is a sales-led, dual-motion model — enterprise field sales recruits established independent advisors and practices to the platform, while inside sales supports onboarding and ongoing practice management — concentrated in the U.S. Southeast with a single headquarters. Management depth is the central credibility asset: the firm cites 150 years of collective experience among leadership in wealth management, due diligence, compliance, and alternative investments.

Name

DAI Securities

Legal name

DAI Securities, LLC

Website

https://daisecurities.com

Company type

Private

Founded year

2018

Operating status

Operating

Headcount range

1–10 employees

Short description

DAI Securities is a private, advisor-owned independent broker-dealer and SEC-registered investment adviser in Atlanta, serving independent financial advisors and their high-net-worth clients with traditional and alternative investment products, SMAs/UMAs, and a partnered technology and compliance platform.

Ownership category

akta.pro rank

Product category

Independent Broker-Dealer and Registered Investment Adviser Services

NAICS

Other Financial Investment Activities (5239)

SIC

Security Brokers, Dealers & Flotation Companies (6211), Investment Advice (6282)

akta.pro primary industry

Independent Broker-Dealers (Retail Network) (FSAAAAAC)

akta.pro secondary industries

Comprehensive/Full-Service RIAs & Independent Wealth Managers (FSAAACAA), Independent Broker-Dealer / Registered Representative Networks (FSAEACAG)

Keywords

• Independent broker-dealer
• Registered investment adviser
• Wealth management services
• Alternative investment distribution
• Advisor transition support

Headquarters

HQ city

Atlanta

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B

Offering type

Services

Cost components

Personnel, Operations, Technology or R&D, Marketing or Sales, Infrastructure

Revenue model

1. Broker-Dealer Commission Revenue: Commission-based revenue from executing trades and providing brokerage services for clients including equities, mutual funds, annuities, fixed income, ETFs, and alternative investments
2. Investment Advisory Fees: Fee-based revenue from managing client assets through DAI Wealth, LLC including separately managed accounts (SMAs), unified managed accounts (UMAs), ETFs, and mutual fund wrap programs
3. Alternative Investment Distribution: Revenue from distributing alternative investment products including 1031 exchanges, private equity, non-traded REITs, non-traded BDCs, and other private offerings

Pricing tiers

Go-to-market motion2 records

Distribution channels2 records

Marketing channels2 records

Core offering

DAI Securities operates as a full-service independent broker-dealer (DAI Securities, LLC, FINRA/SIPC member) and SEC-registered investment adviser (DAI Wealth, LLC), providing affiliated independent financial advisors with brokerage execution across traditional and alternative investments, fee-based managed-account programs (SMAs, UMAs, mutual fund wraps), compliance oversight, transition support, marketing, and an integrated technology platform. The firm recruits independent advisors and supports them with due diligence, practice management, and access to a broad product shelf including mutual funds, equities, annuities, fixed income, ETFs, 1031 exchanges, non-traded REITs, non-traded BDCs, and private equity.

Product overview

DAI Securities operates as a full-service independent broker-dealer and registered investment adviser, consisting of two core entities: DAI Securities (FINRA member broker-dealer) and DAI Wealth, LLC (SEC Registered Investment Adviser). DAI Securities provides traditional investment products (mutual funds, equities, annuities, fixed income, ETFs, IRAs) alongside alternative investments (1031 exchanges, private equity, real estate, hedge funds, commodities, non-traded REITs/BDCs). DAI Wealth delivers investment management through Separately Managed Accounts (SMAs), Unified Managed Accounts (UMAs), and wrap programs. The firm integrates technology platforms including AIX (new business/compliance workflows), ComplySci (compliance tracking), ShareFile (document management), PureFacts (commission tracking), and Microsoft Office 365/Teams, with wealth management technology partners Envestnet, SmartX, and Adhesion providing proposal generation and portfolio management tools.

Differentiator

Problem solved

Functional benefit

Products and services

• DAI Securities Broker-Dealer Services
• DAI Wealth, LLC Investment Advisory Services
• Multigenerational Wealth Planning
• Family Office Services

Segments2 records

Ideal customer profiles2 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Integration11 records

Feature6 records

Partnerships

Twelve partnerships are on record, tiered core and supporting.

• AIXcoreTechnology or IntegrationTechnology partnership providing Complete New Business Solution with built-in e-Sign platform, compliance workflows, trade blotter, and transaction document storage for streamlined advisor operations
• ComplyScicoreTechnology or IntegrationCompliance tracking integration for outside business activities, outside brokerage accounts, FINRA/SEC licensing requests, marketing material reviews, and representative onboarding
• ShareFilecoreTechnology or IntegrationDocument storage and e-signature platform partnership providing compliant, easy-to-use file sharing and document management accessible from anywhere
• PureFactscoreTechnology or IntegrationCommission tracking and licensing information platform providing real-time access to commission statements, licensing details, client account details, and customizable dashboards
• AI InsightsupportingTechnology or IntegrationEducation platform partnership providing online education modules for alternative product solutions distributed through DAI
• EnvestnetcoreTechnology or IntegrationState-of-the-art proposal generation, portfolio analysis and management, performance reporting, and research tools for wealth management platform
• SmartXcoreTechnology or IntegrationPortfolio analysis and management technology integration for advisor-directed accounts and Separately Managed Accounts
• AdhesioncoreTechnology or IntegrationInvestment management technology integration for proposal generation and portfolio management services
• Axos ClearingcoreTechnology or IntegrationOrder routing and clearing services partnership for securities transaction processing
• FINRA/SIPCcoreOthersRegulatory membership - Securities offered through DAI Securities, LLC, member FINRA/SIPC
• Alternative & Direct Investment Securities Association (ADISA)supportingStrategic or Co-development PartnerIndustry association membership with leadership participation from DAI executives including past board service
• Institute for Portfolio Alternatives (IPA)supportingStrategic or Co-development PartnerIndustry association for alternative investments with IPA Rising Leaders Council membership

Scale indicators2 records

Recent moves7 records

Expansion highlights6 records

Direct peers

• LPL Financial: Largest U.S. independent broker-dealer; operates the same independent BD/RIA recruiting-and-services model that DAI Securities targets, with a comparable product menu including alts. Most relevant comparable for DAI's go-to-market and competitive set.
• Commonwealth Financial Network: Independent broker-dealer/RIA with a similar advisor-centric, 'independence-first' value proposition and alts distribution footprint. Closest mid-to-large peer in culture and positioning.
• Park Avenue Securities: Independent broker-dealer affiliated with a larger insurance/wealth group (Guardian); recruits independent advisors under a BD + RIA dual structure similar to DAI Securities + DAI Wealth.
• Cambridge Investment Research: Major independent broker-dealer focused on advisor independence, with strong alts and RIA arms. Competes head-to-head with DAI for breakaway advisors.
• Osaic (formerly Advisor Group): Independent broker-dealer network combining Advisor Group, FSC, and Ladenburg Thalmann brands. Competes for advisor recruitment and offers similar BD/RIA/alts services to DAI's target advisors.
• Cetera Financial Group: Large independent broker-dealer network serving independent advisors across BD, RIA, and alts platforms. Directly competes for the same advisor recruitment pool DAI targets.
• Kestra Financial: Independent broker-dealer with a strong alts focus and similar advisor-recruitment go-to-market. Closest peer in niche product mix and firm-stage profile.
• Securities America: Independent broker-dealer serving independent financial advisors with traditional and alternative investment product access. Directly comparable offering and customer base.

Broad incumbents

• Lincoln Financial Advisors: Wholesaler-affiliated BD/RIA channel targeting independent advisors; broader product scope and parent backing than DAI, but uses a comparable advisor-affiliation model.

Others

• Axos Clearing: Provider of clearing and order-routing services to DAI Securities; relevant not as a competitor but as a key infrastructure dependency enabling DAI's BD operations.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat5 records

Key risks6 records

Key highlights6 records

Customer concentration

Compliance3 records

Revenue estimate

Valuation estimate

Number of profiles

Profiles1 record

Subsidiaries1 record

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about DAI Securities