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DUNCAN WILLIAMS ASSET MANAGEMENT, LLC

MEMPHIS, TN · CRD 174809 · IAPD ↗ · (901) 435-4250

$2.69BRegulatory AUM
15Advisory reps
21Employees
0Clients
101-250Planning clients
0Private funds
27States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

80
April 2026 — DUNCAN WILLIAMS ASSET MANAGEMENT, LLC grew from 5 to 15 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
April 2025 — DUNCAN WILLIAMS ASSET MANAGEMENT, LLC shrank from 8 to 5 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
75
April 2025 — DUNCAN WILLIAMS ASSET MANAGEMENT, LLC reported RAUM up 112% ($1.02B -> $2.16B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
75
April 2025 — DUNCAN WILLIAMS ASSET MANAGEMENT, LLC reports 101-250 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
70
April 2024 — DUNCAN WILLIAMS ASSET MANAGEMENT, LLC now reports custody of client assets ($68,453).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
85
April 2024 — DUNCAN WILLIAMS ASSET MANAGEMENT, LLC crossed $1B in regulatory AUM ($632.0M -> $1.02B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting

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