DUKES FINANCIAL GROUP, LLC

DUKES FINANCIAL GROUP, LLC is an SEC-registered investment adviser (CRD 152512). Regulatory assets under management: $15.1M.

Registration

• CRD: 152512
• Type: Registered investment adviser
• Phone: 704-957-4101
• Latest filing: 2026-01-20
• Regulatory AUM: $15.1M
• Non-discretionary AUM: $15.1M
• Clients: 2
• Accounts: 64

Business model

Compensation: % of AUM, Fixed.

Clients served: Individuals, High net worth.

More on this firm

• Form ADV Part 2 brochure
• Similar advisers
• Related entities and filings
• This page as markdown (for LLM agents)
• CRD 152512 on SEC IAPD (source of record)
• Search all SEC investment advisers on Adviser Search