dub Advisors, LLC Client Relationship Summary March 30th, 2025
Our name is DASTA Investments LLC (“we,” “us,” “our,” or “dub Advisors”). We are registered with the Securities and Exchange Commission as an investment adviser. The services offered and fees charged by an investment adviser differ from those of broker-dealers and it is important that you understand the differences. Free and simple tools are available to research investment adviser firms, broker-dealers, and their financial professionals at www.Investor.gov/CRS, which also provides educational materials about broker-dealers, investment advisers, and investing.
What investment services and advice can you provide me? We offer discretionary portfolio management services and limited non-discretionary investment advisory services to retail investors through the dub app. The dub app provides a platform where you can research investment opportunities and trade in financial instruments, including Premium Portfolios created and managed by us, as well as model portfolios available through our Creator Program (“Creator Program Portfolios”). Users may also construct and share their own self-directed portfolios (“User Portfolios”), which are not managed or supervised by dub Advisors.
- Premium Portfolios: These portfolios are actively managed by dub Advisors, which retains full discretion over investment decisions, rebalancing, and risk management.
- Creator Program Portfolios: These portfolios originate from third-party creators but undergo due diligence and approval by our investment committee. While creators contribute to strategy themes, we retains sole discretion over execution and trading decisions.
- Sponsored Portfolios: These portfolios are endorsed or sponsored by individuals or entities, but we retain full control over their construction, rebalancing, and management.
Note: User Portfolios are self-directed, meaning that we do not manage, monitor, or supervise any trading activity in these portfolios. Transactions related to User Portfolios are executed through DASTA Financial, LLC, an affiliate of dub Advisors.
The dub App collects and analyzes personal information provided by you to create a User Profile, which considers factors such as age, income, investment objectives, and risk tolerance. Based on this profile, we may recommend Premium Portfolios that align with your risk tolerance, but you make the ultimate decision to buy or sell investments. dub Advisors does not have the authority to buy or sell investments on your behalf without your instruction.
Please see Items 4 and 7 of our Form ADV Part 2A for a more detailed description of our services.
What fees will I pay? You will pay a fixed quarterly or annual fee ranging from $25 to $250 per portfolio creator, payable in advance, when accessing a Premium Portfolio, Creator Program Portfolio, or Sponsored Portfolio.
You will also be subject to other costs, including but not limited to: (i) Brokerage and clearing fees charged by DASTA Financial (ii) Regulatory transaction fees, and (iii) Paper statement and Maintenance fees charged by DASTA Financial.
You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time.
Please see Items 5.A., B., C., and D of our Form ADV Part 2A for further details on our fees which is available at https://adviserinfo.sec.gov/.
What are your legal obligations to me when acting as my investment adviser? How else does your firm make money and what conflicts of interest do you have? When we act as your investment adviser, we must act in your best interest and not put our interests ahead of yours. However, the way we make money creates some conflicts of interest. Here is an example:
Subscription-Based Fees: Since our fees are based on access to each Creator Program portfolio, we may have an incentive to encourage you to allocate more assets to multiple Premium Portfolios or Creator Program Portfolios or be motivated to base our recommendation based on the higher subscription fee.
Please see the more detailed disclosure on our conflicts of interest in Items 5, 6, 10, 11, 12, 14, and 17 of our Form ADV Part 2A, which is available at https://adviserinfo.sec.gov/.
How do your financial professionals make money? We pay our financial professionals a salary and discretionary bonus based on their performance.
Do you or your financial professionals have legal or disciplinary history? No. Visit www.Investor.gov/CRS for a free and simple search tool to research us and our financial professionals.
You can find additional information about our investment advisory services at www.SEC.gov. You can request up to date information and a copy of our relationship summary by contacting us at 917-261-2036 .
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