John Duval Jr.
Advisor at Bantam Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
Bantam Inc.
Location
Staatsburg, NY 12580
Credentials
Series 63, Series 65
Industry experience
12 years
About
John Duval is a financial advisor at Bantam Inc. in Staatsburg, NY, holding Series 63 and Series 65 licenses with 12 years of industry experience. He has worked at Bantam Inc. since 2017 and also manages a securities litigation consulting firm where he serves as an expert witness without providing investment advice. Bantam Inc. serves ultra-high-net-worth individuals, families, and select institutional clients, offering asset management, financial planning, and pension consulting with a focus on documented client objectives and discretionary strategies that include equity, fixed income, and alternative investments.
Client services
Based on Bantam Inc.
Financial planning
Portfolio management
Pension consulting
Selection of other advisers
Fee options
$5,000 fee for drafting an Investment Policy Statement (IPS), payable in advance and non-refundable but can be waived; fixed fees for pension consulting, financial planning, and non-trading investment consulting negotiated per engagement.
0.25% annually for Fixed Income discretionary portfolios; Risk Asset portfolio fees range from 0.25% to over 2.00%, negotiable, no set tiers provided
Hourly fees for financial planning, consulting, and investment audit services range from $30 to $2,000 per hour depending on staff level.
Account minimum: $10,000,000 Fee-only: Hourly fees range from $30 to $2,000 per hour depending on personnel; most financial planning/consulting work between $700 and $800 per hour blended rate; fixed fees for pension consulting and financial planning also offered, amounts negotiated per engagement; non-trading investment consulting fees are fixed annual fees negotiated with client, payable monthly in advance; CFO services fixed fees typically $8,000 to $40,000 per year.
Location
107 East Meadowbrook Lane
Staatsburg, NY 12580
Most active in
John D has reported serving >5 clients in these states in the last 12 months.
New York
Work history
Bantam Inc.
2017 - Present (9 years)
Accelerant LLC
2004 - Present (22 years)
Disclosures
Disclosures include customer complaints, regulatory actions, employment terminations, bankruptcies, and certain legal protections.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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