Dukes Financial Group, LLC

Overview

Dukes Financial Group, LLC is a small, independent registered investment adviser that focuses on financial planning and portfolio management for individual and family clients and small businesses. The firm runs an equity-oriented playbook: its public-facing filings show a pronounced tilt toward non-exchange-traded equities, and the practice appears to manage client relationships on a non-discretionary basis, meaning clients retain final authority over trades. Fee arrangements include both percentage-of-AUM and fixed-fee engagements. Dukes Financial Group does not report being an active ESG investor and is not structured as a multi-state or pension consultant adviser. Investment activity centers on direct equity exposure rather than broad ETF-driven indexing. The adviser supplements equity positions with annuities and mutual funds, and lists commodities among the alternative asset types it deploys. Client work is typical of a boutique RIA: hands-on planning, tailored portfolios for individuals and small enterprises, and limited use of external capital allocators.

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Public Holdings

Investments & Alternatives

Location & Offices