At Duncan Advisor Resources, our focus is on developing a long-term strategic partnership with our advisors that leads to mutual success. We want to empower you to do whatever it is that you do best. We have the capabilities and resources to back you so that you can grow your business the way you want to and focus on what’s important to you. We give you scale. We give you resources. We give you support.
Compliance & Supervision
Transitioning to a new broker dealer can be daunting. Led by our Operations Manager, Greg Hicks, you can be confident you will have the full support you need to transition successfully and with as little disruption to your practice as possible.
We have developed concise and thorough workflows to provide transparency and direction throughout the process. The transition process begins with a thorough analysis of your business processes, structure, and needs. This will allow our transition team to provide you with a roadmap to your transition.
Transition support includes:
- Completing advisor broker-dealer paperwork
- Re-papering accounts
- Administrative Training
- Technology Training
The day to day activities of running a practice are often cumbersome and deter from your opportunities to be in front of clients and generating revenue. Our team is available to support you and provide guidance as you build your practice. We focus on helping you develop operational and administrative efficiencies, evaluating and refining your business model as needed, and introducing you to products and technology that make doing business easier.
In addition to weekly calls, Duncan Advisor Resources hosts an annual branch meeting. Member advisors enjoy 2 days of knowledge sharing, breakout sessions and workshops, and professional comradery. The annual branch meeting features sponsor presentations of new products and sales ideas that can be incorporated into your current business practices to further meet your clients’ needs.
Advisors also have the opportunity to meet with our team of professionals that offer additional services in the 401(k), group benefits, and tax and accounting arenas.
Investment Policy Committee
The Duncan Financial Group and Duncan Advisor Resources Investment Policy Committee (IPC) is a geographically diverse group of almost two dozen licensed registered representatives and Investment Advisor Representatives. The group meets every Monday morning in person and by Webinar to share and discuss many topics in the investment world, including specific investment solutions and different market, economic and geopolitical scenarios. They act as a “think tank” by collaborating and peer-sharing fresh ideas and investment concepts.
The IPC creates a listing of mutual funds based on asset category, as well as asset category weightings, and makes them available to our reps for financial professional use only.
The IPC is headed by David S. Duncan, CFP and CEO, Duncan Financial Group, and Thomas J. Walsh, CFA and President, Walsh Asset Management, LLC. The committee traces its roots back almost 15 years.