Duncan & Haley, Ltd. (Seattle)

Name: Duncan & Haley, Ltd.
Address: 2753 S Washington Street, Seattle, WA, 98144
Telephone: 206-625-2658

Duncan & Haley, Ltd. is a large advisory firm based in Seattle. It manages $385 million of regulatory assets for 70 client accounts. It has been registered with the SEC as an adviser since 2014 and has operated in the jurisdiction of Washington.

Duncan & Haley provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, and educational seminars and workshops. It prepares financial plans for more than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Duncan & Haley: assets under management

The assets under management (AUM) of Duncan & Haley, Ltd. is $385 million. The firm's AUM has grown by 108% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $135 million in discretionary accounts and $250 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $3.75 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $7.35 million.

Investments

The firm invests in investment and business development companies the most. They account for 87% of the total AUM. The second-largest asset type is exchange traded securities, which make up 10% of the firm’s portfolio. Investments in cash and cash equivalents form 3% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Duncan & Haley, Ltd. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients John Colby Haley serves?

The firm provides services to high net worth individuals and pension and profit sharing plans. The largest group of clients of John Colby Haley is pension and profit sharing plans with 30 clients and $250 million of assets under management. Among the 11 most similar advisory firms, Duncan & Haley has the highest percentage of pension and profit sharing plans out of all clients.

The amount of regulatory assets under management is $385 million for 65 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Duncan & Haley doesn't advise any private funds.

Careers at Duncan & Haley, Ltd.

The company employs 5 people that are either part- or full-time employees. 60 percent of the employees work as investment advisers or researchers. 3 employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

John Colby Haley has been acting as President since 1 Jan 2002. Kelsey Leigh Blackham joined the executive team most recently as the Cco, Vp Insurance Practice.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
John Colby Haley	President	1 Jan 2002	75% - 100%	2499505
Kelsey Leigh Blackham	Cco, vp insurance practice	1 Jan 2006	25% - 50%	4716621

Based in Seattle

The principal office where Duncan & Haley, Ltd. performs its advisory services is located at 2753 S Washington Street, Seattle, WA 98144, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 206-625-2658 or by fax 206-625-3285. The normal business hours are 8:00am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at duncanhaley.com.