The Ducoat Financial Group
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$71,252,670
Total clients
152
21% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
152
Average account size
$468,768
About
The Ducoat Financial Group provides discretionary portfolio management and incidental financial planning to individuals, high-net-worth individuals, and business entities, managing roughly $71.3 million across about 152 client accounts. Advisory services are billed as a percentage of assets under management and are tailored to each client's stated objectives and risk tolerance.
The firm constructs customized portfolios using methods that include fundamental and charting analysis, long-term purchase strategies, and covered option writing, and it generally manages accounts on a discretionary basis with ongoing monitoring and rebalancing. Financial planning advice is delivered as part of the advisory relationship, although the firm does not typically provide a formal written financial plan.
Notable distinctions include the firm’s status as a d/b/a of a corporate entity and the disclosure that an associated person is separately licensed to sell insurance and annuity products for commission — an affiliation that the brochure identifies as a potential conflict of interest. The brochure also discloses a 2016 regulatory settlement addressing custody and disclosure deficiencies, and the firm routinely directs clients to use a specified custodian, all factors prospective clients may wish to review.
Client services
Financial planning
Portfolio management
Expertise
Options & derivatives strategies
Cash flow / budgeting
Fee options
1.00% per annum, negotiable and may be lower for some clients
Separate commission-based compensation earned by Mr. Ducoat for insurance product sales
Account minimum: $100,000 Fee-only: Fee-only financial planning and investment management services; no commissions on advisory fees
Main office location
The Ducoat Financial Group
Gainesville FL, United States
Number of offices
1
Most active in
The Ducoat Financial Group has reported serving >5 clients in these states in the last 12 months.
Florida · Texas
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 active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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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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