D
Dukes Financial Group, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$15,107,813
Total clients
20
25% high-net worth
Total advisors
1
of 2 employees
Firm size
Supported
1-3 advisors or $200M+ in AUM
Average clients per advisor
20
Average account size
$755,391
About
Dukes Financial Group provides investment supervisory services and financial planning to individual and high-net-worth clients, operating as a very small advisory firm with a single advising professional and roughly 20 client relationships. The firm prepares an Investment Policy Statement for each client and offers fixed-fee financial planning in addition to ongoing portfolio management.
DFG emphasizes a long-term, asset-class driven approach that selects mutual funds and variable annuities based on manager integrity and expense structures, avoids frequent trading, and documents client risk tolerance in an IPS. The firm operates primarily on a non-discretionary basis — the brochure reports $13,052,941 in non-discretionary assets and no discretionary assets — meaning clients retain final authority over trade implementation.
Compared with many peers, DFG is distinctive for managing all assets in-house without delegating to third-party managers and for declining custody and proxy-voting authority; it also requires clients to use a specified custodian (Trade‑PMR) and does not aggregate block trades across accounts. The firm maintains a $100,000 account guideline (waivable) and provides periodic plan reviews for financial planning clients who meet its stated asset threshold.
Client services
Financial planning
Portfolio management
Expertise
Wealth management
Cash flow / budgeting
Fee options
$0 - $300,000: 1.30% $300,000 - $1,000,000: 1.05% $1,000,000+: 0.55%
Account minimum: $100,000 Fee-only: Financial planning fees between $100 and $10,000, fixed fees
Main office location
Dukes Financial Group, LLC
Charlotte NC, United States
Number of offices
1
Most active in
Dukes Financial Group, LLC has reported serving >5 clients in these states in the last 12 months.
North Carolina
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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