Little Rock, AR Office

R.M. Duncan Capital Management Corporation provides discretionary investment management to individuals, trusts, estates, limited partnerships, corporations and similar entities, charging percentage‑of‑assets advisory fees and custodial relationships with third‑party firms. The firm operates on a small scale, reporting roughly $13.3 million in regulatory assets under management, two advisors, and about 15 client relationships.

The firm’s investment process combines charting, cyclical, fundamental and technical analysis applied to U.S. equities, options, corporate and municipal debt, and partnerships that invest in real estate and oil and gas interests. Implementation includes long‑term and short‑term purchases, active trading and options strategies (including option writing and uncovered positions), and advisors tailor plans to client goals while accepting written investment restrictions.

Distinctive features include formal affiliations with a broker‑dealer and related securities firm under common ownership and the firm’s principal holding a law license and retaining the option to provide legal services under a separate conflict agreement. The brochure also discloses prior disciplinary events — including a 1996 regulatory fine and a 2015 FINRA settlement involving censures, fines and customer restitution — and describes routine recommendation or use of the affiliated broker‑dealer, practices the firm says are managed through disclosure and periodic review.