D
Duffield Financial Group
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$0
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Clients per advisor
0
Average account size
—
About
Duffield Financial Group provides pension consulting, investment consulting and financial planning to plan sponsors, trusts, endowments and high-net-worth individuals. The firm’s pension work is delivered at the plan level and includes investment option assessment, participant education, plan benchmarking, plan design and service-provider searches, with client relationships managed on a non-discretionary basis for current engagements.
The adviser begins with a comprehensive client interview and portfolio review to develop customized recommendations, relying primarily on fundamental analysis and a long-term, buy-and-hold approach often implemented with mutual funds. It also serves as a liaison in the selection of other advisers and service providers and routinely offers fixed-fee or hourly and per-project engagements rather than charging on an asset-based percentage basis.
Noteworthy for this category, the firm’s emphasis on ERISA-level pension consulting and its active role in selecting other advisers are atypical among investment-manager peers, as is the regular use of flat and hourly billing instead of percentage-of-AUM fees. The brochure also discloses that the adviser’s registered broker/dealer and insurance affiliations can produce additional compensation and potential conflicts of interest, which the firm says it manages by preferring no-load or load-waived share classes and offsetting advisory fees where feasible.
Client services
Financial planning
Portfolio management
Pension consulting
Selection of other advisers
Occupation focus
Retired
Fee options
Flat or fixed fees range from $1,000 to $20,000 for consulting; $1,000 to $15,000 for financial planning
Advisory Representative may receive commissions on securities and insurance products purchased through them, which offset fees
Hourly rates from $50 to $200 per hour; IAR $200/hour, Senior Staff $80/hour, Junior Staff $50/hour
Minimum fee: Minimum financial planning project fee of $1,000, negotiable Fee-only: Fees are fee-only basis; fixed or negotiated fees for consulting and financial planning services
Main office location
Duffield Financial Group
Concord MA, United States
Number of offices
1
Most active in
Duffield Financial Group has reported serving >5 clients in these states in the last 12 months.
Massachusetts
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
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 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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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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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.
Forms ADV
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