Phoenix, AZ Office

J.H. Darbie & Co., Inc. provides non‑discretionary investment advisory and brokerage services to individuals (including non‑HNW clients), high‑net‑worth individuals, trusts, estates, and business entities, and participates in third‑party adviser programs. The firm also sponsors a wrap fee program and, as of December 31, 2023, reported no assets under management and states it does not manage client assets on a discretionary basis.

The firm’s investment process combines cyclical, fundamental, and technical analysis and uses value‑oriented, tactical and strategic asset allocation approaches, with account reviews performed at least quarterly and an annual comprehensive review. In its Third‑Party Registered Investment Advisor program (Morningstar Managed Portfolios), J.H. Darbie implements model strategies and provides administrative and execution services while the third‑party adviser retains investment management responsibility.

J.H. Darbie is dually registered as an investment adviser and broker‑dealer, is affiliated with an external broker‑dealer and pooled investment vehicles, and its representatives may act as insurance agents and receive placement or commission‑based compensation. The firm’s ADV discloses multiple regulatory and enforcement matters, including an SEC settlement related to anti‑money‑laundering reporting, a set of disclosures that is uncommon among peers in its category.