Dreams Investment Solutions LLC

Regulatory Information & Form ADV

Transparency and disclosure in accordance with SEC requirements

SEC-Registered Investment Adviser — CRD #339186

About Our Registration

Dreams Investment Solutions LLC is a registered investment adviser with the United States Securities and Exchange Commission (SEC). Our firm registration number (CRD) is #339186. Registration with the SEC does not imply a certain level of skill or training, nor does it constitute an endorsement of the firm by the Commission.

You can independently verify our registration status, review our regulatory filings, and access our disclosure documents through the SEC's Investment Adviser Public Disclosure (IAPD) database:

View on IAPD → adviserinfo.sec.gov/firm/summary/339186

What Is Form ADV?

Form ADV is the uniform disclosure document required by the SEC for all registered investment advisers. It serves as the primary vehicle through which advisers provide essential information to current and prospective clients about their business practices, services, fees, and potential conflicts of interest. Form ADV consists of two main parts:

Part 1 — Firm Information

Contains detailed information about the advisory firm filed directly with the SEC, including:

  • Business operations and ownership structure
  • Types of clients served
  • Assets under management
  • Disciplinary history, if any
  • Affiliated entities and business practices
  • Custodial arrangements

Part 2 — Firm Brochure

A narrative disclosure document written in plain English, covering:

  • Advisory services offered
  • Fee schedules and compensation
  • Investment strategies and methods of analysis
  • Risk factors for each strategy
  • Conflicts of interest
  • Code of ethics and disciplinary information

How to Obtain Our Form ADV

Our Form ADV is publicly available through several channels:

  • IAPD Database: Access both Part 1 and Part 2 at adviserinfo.sec.gov/firm/summary/339186
  • Direct Request: You may request a copy of our current Form ADV Part 2 (Firm Brochure) by emailing us at info@investwithdreams.com
  • Client Delivery: Current and prospective clients receive our Firm Brochure as part of the onboarding process, and annually thereafter whenever material changes are made

We encourage all prospective clients to review our Form ADV carefully before engaging our services.

Our Fiduciary Duty

As a registered investment adviser, Dreams Investment Solutions LLC owes a fiduciary duty to its clients. This means we are legally and ethically obligated to act in our clients' best interests at all times, provide full and fair disclosure of all material facts, avoid or manage conflicts of interest, and place client interests ahead of our own. This fiduciary standard is at the core of everything we do.

Complaints & Regulatory Inquiries

We take all client concerns seriously and are committed to resolving issues promptly and fairly. If you have a complaint or concern about our services:

  • Contact Us Directly: Reach our Chief Compliance Officer by emailing info@investwithdreams.com. We will acknowledge your concern and work toward a timely resolution
  • SEC Office of Investor Education and Advocacy: You may file a complaint with the SEC at www.sec.gov/tcr or by calling 1-800-SEC-0330
  • State Securities Regulators: Contact your state securities regulator through the North American Securities Administrators Association (NASAA) at www.nasaa.org

Clients and prospective clients should never hesitate to ask questions about our business practices, fees, or regulatory status. Transparency is fundamental to our firm's values.

Contact

For questions about our regulatory filings, disclosure documents, or compliance practices:

Dreams Investment Solutions LLC
Sarasota, Florida
Email: info@investwithdreams.com
CRD #339186