Dawn M Capozzi

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2002 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Pennington, NJ

Other Businesses

I*137895 For profit or not for profit: For-Profit Organization Name of outside business organization: Door Dash, Inc. Investment related: N Address of business: San Francisco, California 94103 Nature of business: Corporation, Position, title, association: Consultant, Start date of relationship: 5/14/2021 Number of hours devoted: 20 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Door dash delivery - Would deliver food from local restaurants for a fee. Compensation is a rough estimate of about $20/hour. Time dedicated would also vary and is just an estimate. It would not interfere with my work. I*517088 For profit or not for profit: Entity For Profit Name of outside business organization: Kenbury Investors LLC Investment related: N Address of business: Branchburg, New Jersey, 08876 Nature of business: ["Limited Liability Company"] Position, title, association: ["General Partner/Managing Member","Owner"], Start date of relationship: 7/15/2021 Number of hours devoted: 0 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , My husband decided to form a family LLC for the purposes of making family investments. I*1225309 For profit or not for profit: Entity For Profit Name of outside business organization: The Homeplate Catering and Hospitality Company, LLC Investment related: N Address of business: OBA, OBA, OBA Nature of business: ["Limited Liability Company"] Position, title, association: ["Employee","Other"], Start date of relationship: 6/24/2023 Number of hours devoted: 40 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: Technically I am a parent volunteer and due to the potential for serving alcohol at concessions for a handfull of games in the summer I have to undergo training course and they are required to pay me for my time IF i should fill that role., food service for minor league baseball team - my son's school does volunteer work at the ballpark, but this includes parent volunteers too - however, due to legal requirements parents are required to have training related to alcoholic beverage service ar

Exams

• S65 Uniform Investment Adviser Law Examination
  2017-04-27
• S63 Uniform Securities Agent State Law Examination
  2017-01-24

Other Names

• Dawn M Malfitano