← Tributary

DUNCAN & HALEY, LTD.

SEATTLE, WA · CRD 109900 · IAPD ↗ · duncanhaley.com · 206-625-2658

$664.1MRegulatory AUM
4Advisory reps
4Employees
110Clients
51-100Planning clients
0Private funds
1States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

63
April 2026 — DUNCAN & HALEY, LTD. (SEATTLE, WA) left the SEC roster (was $664.1M RAUM, 4 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
61
April 2025 — DUNCAN & HALEY, LTD. reports 51-100 financial-planning clients, up from 26-50.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
61
April 2024 — DUNCAN & HALEY, LTD. reports 26-50 financial-planning clients, up from 11-25.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.