DUNCAN & HALEY, LTD.
Adviser information for DUNCAN & HALEY, LTD. last updated from Form ADV on March 1st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Washington, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 61 | $209.9M |
| Non-Discretionary | 21 | $360.7M |
| Total | 82 | $570.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 61 | $198.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 21 | $360.7M |
| Charitable organizations | <5 | $12.0M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 82 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-79706 |
|---|---|
| SEC ERA File Number | 801-79706 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 109900 |
| Legal Entity Identifier | None |
Principal Office
2753 S WASHINGTON STREETSEATTLE
WA
United States
Monday - Friday, 8:00AM TO 5:00 PM
Tel: 206-625-2658, Fax: 206-625-3285
Websites
Chief Compliance Officer
JOHN HALEY
PRESIDENT
2753 S WASHINGTON ST
SEATTLE
WA
United States
Tel:
2066252658
Fax:
2066253285
J***@**************M
(Full email address available in API data)
Regulatory Contact
JOHN HALEY
PRESIDENT
2753 S WASHINGTON STREET
SEATTLE
WA
United States
Tel:
206-625-2658
Fax:
206-625-3285
J***@**************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HALEY, JOHN, COLBY | Individual | – | PRESIDENT | 01/2002 | > 75% |
| MORRISON, KELSEY, LEIGH | Individual | – | CCO, VP INSURANCE PRACTICE | 01/2006 | 25-50% |