A complete list of active advisors currently associated with Duke and Duke Wealth Management LLC

Warmer can help you find a great advisor at Duke and Duke Wealth Management LLC or one who fits your needs even better.

The firm provides fee-based portfolio management and advisory services to individual clients, managing approximately $75.6 million across 331 accounts and typically requiring a $50,000 minimum to open a managed account. Services include ongoing asset management, financial planning-related consultations, and referrals to third-party sub‑advisers when appropriate. Investment programs are delivered on a tailored, client‑by‑client basis with a long‑term purchase orientation and regular (at least quarterly) account reviews; the firm monitors and conducts due diligence on any recommended sub‑advisers or model managers. Notably, the firm manages client accounts on a non‑discretionary basis—requiring client approval for transactions—and does not engage in block trading or proxy voting on clients’ behalf. Distinctive features compared with peers include the firm’s primarily non‑discretionary mandate (all AUM is managed non‑discretionarily), and that its investment adviser representatives may, in their separate capacities, sell insurance products for commission, a potential source of conflict disclosed in the brochure. The firm also disclosed a regulatory consent agreement with the Pennsylvania securities regulator in December 2023 that resulted in a $100,000 settlement (paid in 2024).

To learn more about the advisors currently working at Duke and Duke Wealth Management LLC, click on their names below to view their profiles, or click here to see them all on a map. Or, if you tell us about your needs, Warmer can help you find the best advisor for you.