# R.M. Duncan Capital Management Corporation

> R.M. Duncan Capital Management Corporation is a state-registered investment advisory firm in Little Rock, AR, registered since 1995, reporting under $25 million in regulatory assets under management in its Form ADV filing dated March 30, 2026.

- CRD: 116857
- Filed as: R.M. DUNCAN CAPITAL MANAGEMENT CORPORATION
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Little Rock, AR
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/116857
- AdvisorCensus page: https://advisorcensus.com/firm/r-m-duncan-capital-management-corporation-little-rock-ar-116857

## Quick answers

**How is R.M. Duncan Capital Management Corporation compensated?**
On its Form ADV (Item 5.E, October 2026), R.M. Duncan Capital Management Corporation reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is R.M. Duncan Capital Management Corporation located?**
R.M. Duncan Capital Management Corporation's principal office is in Little Rock, AR, according to its Form ADV.

**Is R.M. Duncan Capital Management Corporation registered with the SEC or a state?**
R.M. Duncan Capital Management Corporation is a state-registered investment advisory firm, registered since 1995. Status as filed: APPROVED. CRD 116857.

**How much does R.M. Duncan Capital Management Corporation manage?**
R.M. Duncan Capital Management Corporation reports $13,315,010 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary).

**What types of clients does R.M. Duncan Capital Management Corporation serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (15).

**Does R.M. Duncan Capital Management Corporation report any disciplinary disclosures?**
Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.E(2) (self-regulatory organization's finding of a rule violation). 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/116857

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Regulatory assets under management (Item 5.F)
- Total: $13,315,010
- Discretionary: $13,315,010
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 15 | $4,992,076 |
| High net worth individuals | Fewer than 5 | $8,322,934 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 1995 (31 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AR, CA
- Disclosures (Item 11): Reports 2 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(2): 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?
- 11.E(2): Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/116857

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. R.M. Duncan Capital Management Corporation (CRD 116857): Form ADV filing data as of October 2026.