Duke Financial Services
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Duke Financial Services is a small, independent advisory firm that manages about $13.6 million in client assets for roughly 63 individual clients, offering portfolio management and financial planning services tailored to individuals. The firm's Form ADV Part 2A confirms it provides ongoing account management and periodic reviews, and it lists portfolio management for individuals among its primary services.
The brochure details the firm’s methods of analysis, investment strategies and risks, and describes its brokerage, custody and trade review practices, indicating a structured approach to execution and compliance. It also discloses policies on code of ethics and personal trading, which speak to how the firm manages potential conflicts and oversight of investment activities.
Compared with many peers, Duke’s modest asset base and client count suggest a smaller operational scale that may lead to more direct advisor involvement in day-to-day account management. The firm’s Part 2A explicitly includes sections on performance‑based fees and side‑by‑side management as well as other industry activities and affiliations, items that smaller independent advisers do not always address in detail.
Client services
Fee options
Specific hourly rates not stated
Main office
Hamilton OH
Advisors at this office
1
Most active in
Ohio
Also doing business as
Duke Financial Services · Joseph S. Duke
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
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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