Dukes Financial Group, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Dukes Financial Group provides investment supervisory services and financial planning to individual and high-net-worth clients, operating as a very small advisory firm with a single advising professional and roughly 20 client relationships. The firm prepares an Investment Policy Statement for each client and offers fixed-fee financial planning in addition to ongoing portfolio management.
DFG emphasizes a long-term, asset-class driven approach that selects mutual funds and variable annuities based on manager integrity and expense structures, avoids frequent trading, and documents client risk tolerance in an IPS. The firm operates primarily on a non-discretionary basis — the brochure reports $13,052,941 in non-discretionary assets and no discretionary assets — meaning clients retain final authority over trade implementation.
Compared with many peers, DFG is distinctive for managing all assets in-house without delegating to third-party managers and for declining custody and proxy-voting authority; it also requires clients to use a specified custodian (Trade‑PMR) and does not aggregate block trades across accounts. The firm maintains a $100,000 account guideline (waivable) and provides periodic plan reviews for financial planning clients who meet its stated asset threshold.
Client services
Expertise
Fee options
$0 - $300,000: 1.30% $300,000 - $1,000,000: 1.05% $1,000,000+: 0.55%
Account minimum: $100,000 Fee-only: Financial planning fees between $100 and $10,000, fixed fees
Main office
Charlotte NC
Advisors at this office
1
Most active in
North Carolina
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.
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