Duncan Williams Asset Management, LLC

RIASEC RegisteredEst. 2015

Total AUM

$2.7B

Discretionary

$2.2B

83% of AUM

Avg account

$1.2M

Accounts

2,238

Employees

21

Advisory reps

20

Firm details

Headquarters: Memphis, Tennessee
CRD number: 174809
Registered since: March 9, 2015
Website: dwassetmgmt.com
Custodians: CHARLES SCHWAB & CO., INC.
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees
Client types: Pension & Profit Sharing Plans60.63%
HNWI17.9%
Individuals11.81%
Charitable Organizations5.16%
Corporations / Businesses4.06%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other AdvisersEducational Seminars / Workshops

Firm profile

FINTRX

Overview

Duncan Williams Asset Management, LLC is an independent, SEC-registered advisory firm organized as an LLC and operating since 2015. The firm identifies as a capital allocator and serves both individual/family and institutional clients. Its fee structures include percentage-of-AUM, hourly, and fixed-fee arrangements. Core advisory capabilities listed in regulatory materials include financial planning, portfolio management for individuals and for businesses/institutions, pension consulting services, selection of other advisers, and educational seminars/workshops. The firm does not position itself as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

Public Funds/Mutual Funds62%
Exchange Traded Equities16%
Cash & Cash Equivalents14%
US Government Bonds6%
State & Local Bonds2%

Owners & executives

2 of 2

Kyle Gowen
Chief Investment OfficerCRD 6183945
Sonia Goforth
Chief Compliance OfficerCRD 2544170

Contacts

3 of 18

Jackson Greer
Associate Vice PresidentCRD 7548959
Wesley Mims
Associate Vice PresidentCRD 8104735
Robert Atkins
Senior Vice PresidentCRD 6104672

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Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 73

Active vs passive

$319M in ETFs

Passive

79%

$251M

Active

20%

$68.2M

ETF	Provider	Style	Category	Value	Shares	% of portfolio
VANGUARD GROWTH INDEX FUND (VUG)	Vanguard	Passive	Large Growth	$52.4M	607,777	16.42%

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Primary office

Memphis, TN

Shelby

Location

Memphis, TN

Headquartered in Memphis, TN, anchoring the Memphis-Forrest City, TN-MS-AR metro in the South.

Metro area: Memphis-Forrest City, TN-MS-AR
Region: South
County: Shelby
Address: 5350 Poplar Ave
Time zone: CT (UTC-6)
Office locations

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