Hedge Fund Database

DUNCAN WILLIAMS ASSET MANAGEMENT, LLC

Adviser information for DUNCAN WILLIAMS ASSET MANAGEMENT, LLC last updated from Form ADV on March 25th, 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 Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 15
Investment Advisory/Research 8
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 8
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,184 $797.1M
Non-Discretionary 102 $224.9M
Total 1,286 $1.0B

Clients

Type Number RAUM
Individuals 478 $101.9M
HNW Individuals 60 $171.6M
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 90 $610.5M
Charitable organizations 43 $102.1M
State or municipal gov entities <5 $10.6M
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 9 $25.2M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 0

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)
Compensation % of AUMHourly chargesFixed fees

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 0
Both for Same 1.2M
Portfolio Manager to Program Sponsor
DWAM SELECT ACCOUNT PROGRAM- DISCRETIONARY DUNCAN WILLIAMS ASSET MANAGEMENT, LLC

Identifiers

SEC RIA File Number 801-81015
SEC ERA File Number 801-81015
SEC CIK Numbers 2011771
SEC CRD Numbers 174809
Legal Entity Identifier None

Principal Office

5350 POPLAR AVENUE
SUITE 600
MEMPHIS
TN
United States
Monday - Friday, 8:30 A.M. TO 4:30 P.M. CST
Tel: (901) 435-4250, Fax: (901) 435-4052

Websites

www.linkedin.com/company/duncan-williams-asset-management/ www.dwassetmgmt.com twitter.com/dwamassetmgmt www.instagram.com/dwam_memphis/?hl=en www.facebook.com/dwamassetmgmt/

Chief Compliance Officer

SONIA GOFORTH
CHIEF COMPLIANCE OFFICER
101 S. 5TH ST. STE 2500
LOUISVILLE
KY
United States
Tel: 502-540-2593
(Full email address available in API data)

Regulatory Contact

DAVID SCULLY
PRESIDENT
5350 POPLAR AVENUE
SUITE 600
MEMPHIS
TN
United States
Tel: (901) 435-4175
Fax: (901) 435-4052
(Full email address available in API data)

Industry Affiliates

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP. Broker-dealer, municipal securities dealer, or gov securities broker or dealer

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
WILLIAMS, DUNCAN, FRANKLIN Individual – MEMBER; CHAIRMAN OF BOARD OF MANAGERS 04/2015 > 75%
BURNETT, PATRICK, THOMPSON Individual – MEMBER OF BOARD OF MANAGERS 04/2015 < 5%
SCULLY, DAVID, NICHOLAS Individual – MANAGER; PRESIDENT 02/2017 < 5%
REID, FRANKLIN, FARLEY Individual – MEMBER OF BOARD OF MANAGERS 07/2017 < 5%
GOFORTH, SONIA, ANN Individual – CHIEF COMPLIANCE OFFICER 08/2023 < 5%
GOWEN, KYLE, HAMMETT Individual – CHIEF INVESTMENT OFFICER 01/2022 < 5%

No. Employees, Historic

2010020192020202120222023202420258 on 4/22/20198 on 7/31/20198 on 10/10/20198 on 2/13/20208 on 2/20/20208 on 3/27/20208 on 5/29/20208 on 6/22/20208 on 7/8/20208 on 8/10/20208 on 10/27/20208 on 3/1/202110 on 3/24/202110 on 3/29/202210 on 4/20/202210 on 10/25/202210 on 11/4/202210 on 11/8/202210 on 2/23/202310 on 3/14/202311 on 3/30/202311 on 3/31/202311 on 8/23/202315 on 3/25/2024

RAUM, Historic

2B1B02019202020212022202320242025103773543 on 4/22/2019103773543 on 7/31/2019103773543 on 10/10/2019103773543 on 2/13/2020103773543 on 2/20/2020136355998 on 3/27/2020136355998 on 5/29/2020136355998 on 6/22/2020136355998 on 7/8/2020136355998 on 8/10/2020136355998 on 10/27/2020136355998 on 3/1/2021409715027 on 3/24/2021510772181 on 3/29/2022510772181 on 4/20/2022510772181 on 10/25/2022510772181 on 11/4/2022510772181 on 11/8/2022510772181 on 2/23/2023510772181 on 3/14/2023632025726 on 3/30/2023632025726 on 3/31/2023632025726 on 8/23/20231022050100 on 3/25/2024

No. Clients, Historic

70035002019202020212022202320242025271 on 4/22/2019271 on 7/31/2019271 on 10/10/2019271 on 2/13/2020271 on 2/20/2020288 on 3/27/2020288 on 5/29/2020288 on 6/22/2020288 on 7/8/2020288 on 8/10/2020288 on 10/27/2020288 on 3/1/2021394 on 3/24/2021513 on 3/29/2022513 on 4/20/2022513 on 10/25/2022513 on 11/4/2022513 on 11/8/2022513 on 2/23/2023513 on 3/14/2023586 on 3/30/2023586 on 3/31/2023586 on 8/23/2023682 on 3/25/2024

Holdings

From latest 13F, filed July 11th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
AMAZON.COM INC Stock 2M 10K –
POWERSHARES QQQ TR ETF 5M 10K –
JOHNSON & JOHNSON COM Stock 318K 2K –
WASTE MANAGEMENT INC Stock 432K 2K –
VANGUARD INTERNATIONAL DIVIDEND APPRECIATION ETF ETF 766K 9K –
VANGUARD INTERNATIONAL HIGH DIVIDEND YIELD ETF ETF 1M 19K –
COSTCO WHOLESALE CORP Stock 693K 815 –
YUM! BRANDS INC Stock 278K 2K –
TRUIST FINL CORP COM Stock 312K 8K –
US FOODS HLDG CORP COM Stock 432K 8K –
SPDR DOW JONES INDUSTRIAL ETF ETF 680K 2K –
SPDR S&P 500 ETF TRUST ETF 1M 2K –
MASTERCARD INC Stock 1M 3K –
FEDEX CORP Stock 445K 1K –
PULTE GROUP INC COM Stock 790K 7K –
PEPSICO INC COM Stock 645K 4K –
HOME DEPOT Stock 773K 2K –
AUTOMATIC DATA PROCESSING INC COM Stock 280K 1K –
GOLDMAN SACHS ACTIVEBETA U.S. SMALL CAP EQUITY ETF ETF 820K 13K –
REGIONS FINANCIAL CORP NEW Stock 222K 11K –
FORTINET INC COM Stock 639K 11K –
COMCAST CORP NEW CL A Stock 733K 19K –
MICROSOFT Stock 7M 15K –
FIRST HORIZON CORPORATION COM Stock 5M 348K –
COPART INC COM Stock 825K 15K –
LINDE PLC SHS Stock 448K 1K –
PIMCO INTERMEDIATE MUNICIPAL BOND ACTIVE EXCHANGE-TRADED FUND ETF 2M 30K –
BROOKFIELD ASSET MGMT INC COM VOTING Stock 530K 13K –
KKR & CO INC COM Stock 1M 14K –
ISHARES U.S. AEROSPACE & DEFENSE ETF ETF 371K 3K –
INVESCO S&P MIDCAP QUALITY ETF ETF 1M 13K –
MARATHON PETE CORP Stock 894K 5K –
PINNACLE FINL PARTNERS INC COM Stock 1M 13K –
SCHWAB US DIVIDEND EQUITY ETF ETF 22M 280K –
VISA INC Stock 1M 5K –
VANGUARD GROWTH ETF ETF 28M 75K –
L3HARRIS TECHNOLOGIES INC COM Stock 292K 1K –
PHILLIPS 66 Stock 282K 2K –
CAPITAL GROUP INTERNATIONAL FOCUS EQUITY ETF ETF 314K 12K –
JABIL INC COM Stock 673K 6K –
WORKDAY INC CL A Stock 419K 2K –
ACCENTURE LTD BERMUDA CL A Stock 990K 3K –
NVIDIA CORPORATION COM Stock 1M 9K –
ABBVIE INC COM Stock 310K 2K –
RESMED INC COM Stock 621K 3K –
CISCO SYS INC Stock 524K 11K –
ADVANCED MICRO DEVICES INC COM Stock 490K 3K –
WISDOMTREE US QUALITY DIVIDEND GROWTH FUND ETF 9M 114K –
ISHARES S&P 500 INDEX ETF 237K 434 –
NORTHROP GRUMMAN CORP COM Stock 436K 1K –
LOCKHEED MARTIN CORP Stock 887K 2K –
DANAHER CORP Stock 512K 2K –
WALMART INC COM Stock 592K 9K –
ALPHABET INC CAP STK CL C Stock 334K 2K –
RENASANT CORP COM Stock 283K 9K –
AMGEN INC Stock 649K 2K –
VANGUARD DIVIDEND APPRECIATION ETF ETF 2M 11K –
ROYAL GOLD INC COM Stock 419K 3K –
EXXON MOBIL CORP COM Stock 288K 2K –
UNITEDHEALTH GROUP Stock 1M 2K –
VANGUARD MEGA CAP VALUE ETF ETF 356K 3K –
AUTOZONE INC NEV Stock 2M 674 –
APPLE INC Stock 2M 12K –