D
Duke Financial Services
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$13,626,622
Clients
63
0% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
63
HighAverage account size
$216,296
About
Duke Financial Services is a small, independent advisory firm that manages about $13.6 million in client assets for roughly 63 individual clients, offering portfolio management and financial planning services tailored to individuals. The firm's Form ADV Part 2A confirms it provides ongoing account management and periodic reviews, and it lists portfolio management for individuals among its primary services.
The brochure details the firm’s methods of analysis, investment strategies and risks, and describes its brokerage, custody and trade review practices, indicating a structured approach to execution and compliance. It also discloses policies on code of ethics and personal trading, which speak to how the firm manages potential conflicts and oversight of investment activities.
Compared with many peers, Duke’s modest asset base and client count suggest a smaller operational scale that may lead to more direct advisor involvement in day-to-day account management. The firm’s Part 2A explicitly includes sections on performance‑based fees and side‑by‑side management as well as other industry activities and affiliations, items that smaller independent advisers do not always address in detail.
Client services
Financial planning
Portfolio management
Fee options
Specific hourly rates not stated
Main office location
Duke Financial Services
Hamilton OH, United States
Number of offices
1
Most active in
Duke Financial Services has reported serving >5 clients in these states in the last 12 months.
Ohio
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:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Not sure where to start?
We'll help you think it through – whether you ultimately need an advisor or not.
Warmer provides personalized recommendations and introductions to independent fiduciary advisors. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
Each advisor listed on our site is an independent fiduciary responsible for their own advice. Warmer may receive fees from advisors for participation or referrals; these fees are paid by advisors and do not affect the fees clients pay for advisory services.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Please review an advisor's Form ADV and do your own diligence before entering into an advisory relationship.
By using our service, you agree to Warmer's Terms of Service and Advisory Agreement and Privacy Policy. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. ("Warmer")