Dominari Holdings Inc.: management transactions · United States · SEC (Form 4)

About Dominari Holdings Inc.

Dominari Holdings Inc. (ticker: DOMH) is a U.S.-based financial services holding company listed on the Nasdaq market in the United States. For international investors, the company should be viewed as a small-cap financial platform rather than a traditional diversified bank. Its core activities, based on the latest SEC filings, include wealth management, investment banking, sales and trading, asset management, and insurance-related services. Dominari operates primarily through Dominari Financial and its subsidiaries, including a broker-dealer and SEC-registered investment adviser, which serve as the operating backbone of its growth strategy. ([sec.gov](https://www.sec.gov/Archives/edgar/data/12239/000121390026055369/ea0289782-10q_dominari.htm?utm_source=openai)) The company has a long corporate history, dating back to its founding in 1967 as Spherix Incorporated. Over time, it changed its name and strategic focus before becoming Dominari Holdings Inc., reflecting a broader transformation toward a more finance-oriented business model. A key milestone in this repositioning was the acquisition of a dually registered broker-dealer and investment adviser from Fieldpoint Private Bank & Trust, completed in 2023, which materially strengthened the group’s operating platform in financial services. ([sec.gov](https://www.sec.gov/Archives/edgar/data/12239/000121390023025306/f10k2022_dominari.htm?utm_source=openai)) Dominari’s headquarters are located in New York City at 725 Fifth Avenue, New York, NY 10022. Its geographic footprint remains predominantly U.S.-centric, with operations anchored in New York’s financial ecosystem. That domestic focus is important: the business is not yet a globally scaled platform, but rather a U.S. boutique financial intermediary with ambitions to expand via selective acquisitions and organic growth. ([sec.gov](https://www.sec.gov/Archives/edgar/data/12239/000121390026055369/ea0289782-10q_dominari.htm?utm_source=openai)) From a competitive standpoint, Dominari appears positioned as an integrated boutique financial firm. Its revenue mix includes transactional and recurring elements such as underwriting fees, placement agent commissions, brokerage commissions, management fees, and principal transaction results. Management has also stated that it seeks to acquire complementary third-party financial businesses, including registered investment advisers, broker-dealers, asset managers, fintech firms, and insurance brokers. That strategy suggests a roll-up approach in a fragmented market, where scale, distribution, and product breadth can matter materially. ([sec.gov](https://www.sec.gov/Archives/edgar/data/12239/000121390026055369/ea0289782-10q_dominari.htm?utm_source=openai)) Recent company updates indicate meaningful business momentum. SEC filings and company disclosures point to a strong revenue ramp in 2024, continued activity into 2025 and 2026, and ongoing capital-markets execution. The company also announced a registered direct and private placement in February 2025 together with a special cash dividend, underscoring both capital formation and shareholder-return actions. More recently, filings highlighted progress in underwriting, commissions, and related financial services activity, supporting the view that Dominari is building operating leverage inside a U.S. Nasdaq-listed financial platform. ([sec.gov](https://www.sec.gov/Archives/edgar/data/12239/000121390025012362/ea023075501ex99-1_dominari.htm?utm_source=openai))