{ "crd_number": 290184, "slug": "duke-and-duke-wealth-management-llc-doylestown-pa-290184", "primary_business_name": "DUKE AND DUKE WEALTH MANAGEMENT LLC", "legal_name": "DUKE AND DUKE WEALTH MANAGEMENT LLC", "dbas": [], "city": "Doylestown", "state": "PA", "country": "United States", "cbsa_code": "37980", "metro": { "cbsa_code": "37980", "common_name": "Philadelphia", "msa_name": "Philadelphia-Camden-Wilmington, PA-NJ-DE-MD", "path": "/advisors/pa/philadelphia" }, "registration_type": "state", "registration_status": "APPROVED", "registration_date": "2017-12-01", "years_registered": 8, "period": "2026-10-01", "filing_date": "2026-09-02", "carried_forward": false, "raum_total": 101557528.0, "raum_discretionary": 0.0, "raum_non_discretionary": 101557528.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 3, "advisory_employees": 3, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "other": { "raum": 0.0, "count": 0 }, "charitable": { "raum": 0.0, "count": 0 }, "individuals": { "raum": 49999893.0, "count": 213 }, "banking_thrift": { "raum": 0.0, "count": 0 }, "state_municipal": { "raum": 0.0, "count": 0 }, "insurance_companies": { "raum": 0.0, "count": 0 }, "investment_companies": { "raum": 0.0, "count": 0 }, "pension_profit_sharing": { "raum": 5803354.0, "count": null, "fewer_than_5": true }, "other_investment_advisers": { "raum": 0.0, "count": 0 }, "high_net_worth_individuals": { "raum": 45754281.0, "count": 31 }, "pooled_investment_vehicles": { "raum": 0.0, "count": 0 }, "corporations_other_businesses": { "raum": 0.0, "count": 0 }, "business_development_companies": { "raum": 0.0, "count": 0 }, "sovereign_wealth_foreign_official": { "raum": 0.0, "count": 0 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 2, "states_registered": [ "NJ", "PA" ], "websites": [ "https://dukeanddukewealthmanagement.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/290184", "disclosure_items": [ { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "item": "11.D(4)", "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?" } ], "city_as_filed": "DOYLESTOWN", "url": "https://advisorcensus.com/firm/duke-and-duke-wealth-management-llc-doylestown-pa-290184", "display_name": "Duke and Duke Wealth Management LLC", "summary": "Duke and Duke Wealth Management LLC is a state-registered investment advisory firm in Doylestown, PA, registered since 2017, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated September 2, 2026.", "citation": "AdvisorCensus. Duke and Duke Wealth Management LLC (CRD 290184): Form ADV filing data as of October 2026.", "registration_type_label": "State-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Selection of other advisers (including private fund managers)" ], "quick_answers": [ { "q": "How is Duke and Duke Wealth Management LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Duke and Duke Wealth Management LLC reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Duke and Duke Wealth Management LLC located?", "a": "Duke and Duke Wealth Management LLC's principal office is in Doylestown, PA, according to its Form ADV." }, { "q": "Is Duke and Duke Wealth Management LLC registered with the SEC or a state?", "a": "Duke and Duke Wealth Management LLC is a state-registered investment advisory firm, registered since 2017. Status as filed: APPROVED. CRD 290184." }, { "q": "How much does Duke and Duke Wealth Management LLC manage?", "a": "Duke and Duke Wealth Management LLC reports $101,557,528 in regulatory assets under management in its Form ADV filing dated September 2, 2026 (0% discretionary)." }, { "q": "What types of clients does Duke and Duke Wealth Management LLC serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (213); high net worth individuals (31)." }, { "q": "Does Duke and Duke Wealth Management LLC report any disciplinary disclosures?", "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.D(4) (another regulator's order in the past ten years). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/290184" } ], "filing_history": [], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/duke-and-duke-wealth-management-llc-doylestown-pa-290184.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 213, "fewer_than_5": false, "raum": 49999893.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 31, "fewer_than_5": false, "raum": 45754281.0 }, { "type": "banking_thrift", "label": "Banking or thrift institutions", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "investment_companies", "label": "Investment companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "business_development_companies", "label": "Business development companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": null, "fewer_than_5": true, "raum": 5803354.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "state_municipal", "label": "State or municipal government entities (including government pension plans)", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "other_investment_advisers", "label": "Other investment advisers", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "insurance_companies", "label": "Insurance companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "sovereign_wealth_foreign_official", "label": "Sovereign wealth funds and foreign official institutions", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "other", "label": "Other", "count": 0, "fewer_than_5": false, "raum": 0.0 } ], "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/290184", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }