9AT: DUNCAN FINANCIAL PLANNING ADVISORS

DUNCAN FINANCIAL PLANNING ADVISORS

DUNCAN FINANCIAL PLANNING ADVISORS

DUNCAN FINANCIAL GROUP LLC

Adviser Profile

As of Date	03/10/2026
Registration	SEC, Approved, 10/27/2020
ADV Location	IRWIN, PA, United States
Contact Info	724 xxxxxxx

AUM^*	0
of that, discretionary
Number of Employees	16 -16%
of those in investment advisory functions
Private Fund GAV^*	0
SMA’s	No
Private Funds	0

Adviser Type

- Multi-state adviser

Client Types

Advisory Activities

- Financial planning services

Compensation Arrangments

- Hourly charges
- Fixed fees (other than subscription fees)

Reported AUM

1 1 1 1

2020 2021 2022 2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

Advisory Business Duncan Financial Group LLC (doing business as “Duncan Financial Planning Advisors”, and referred to as “DFPA”, us, we, our and “Adviser” throughout this Disclosure Brochure) is a Delaware limited liability company formed in February 2020. We offer financial planning services to clients through individuals who are licensed or approved as registered investment adviser representatives of DFPA (referred to as “IARs” or “Financial Planners” throughout this document). In addition to providing financial planning services to its clients, DFPA has entered into agreement with Cambridge Investment Research Advisors, Inc. (“CIRA”), an entity registered with the SEC as an investment adviser, pursuant to which DFPA may refer its clients and supervises solicitors who refer clients to CIRA (referred to as the “Solicitors” throughout this document). Pursuant to DFPA’s agreement with CIRA, DFPA receives referral fees from CIRA. Some Financial Planners and Solicitors (referred to collectively as “Financial Professionals” throughout this document) are dual- hatted registered investment adviser representatives of DFPA and CIRA, but Financial Professionals are not employees of DFPA or CIRA. In addition to being licensed as investment adviser representatives of CIRA, Financial Professionals may be registered representatives of CIRA’s affiliated broker-dealer, Cambridge Investment Research, Inc. (“Cambridge”). Cambridge is a registered broker-dealer, member of the Financial Industry Regulatory Authority

(“FINRA”) and the Securities Investors Protection Corporation (“SIPC”). CIRA and Cambridge are under separate ownership from DFPA. DFPA is owned and controlled by Keystone Agency Investors LLC, which in turn is majority owned by KAI Investors LLC, each of which are Delaware limited liability companies. The operative officers of the Adviser are David S. Duncan, Chief Executive Officer, and Larry L. Qvistgaard, II, Chief Compliance Officer. Mr. Duncan and Mr. Qvistgaard are dual-hatted registered investment adviser representatives of DFPA and CIRA. If a potential client referred to CIRA by a Solicitor engages CIRA as the client’s investment adviser, CIRA will pay a portion of the referral fee that it receives from that client to DFPA for its supervision of the Solicitor. A conflict of interest is created in this situation as the Solicitors will only be recommending CIRA as an investment adviser that will provide asset management services. There could be other investment advisers suitable for you that are more or less costly. No guarantees can be made that your financial goals or objectives will be achieved. Further, no guarantees of performance can be offered. If DFPA provides financial planning services to a client, regardless of whether that client is also a client of CIRA, DFPA will be compensated for such services directly by the client. Financial planning services provided by DFPA do not include the implementation of transactions on your behalf. We do not manage any client assets on a discretionary basis.

DUNCAN FINANCIAL PLANNING ADVISORS

DUNCAN FINANCIAL PLANNING ADVISORS

DUNCAN FINANCIAL GROUP LLC

Adviser Profile

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Brochure Summary

Overview

Need help?

Send a question to 9AT support.

DUNCAN FINANCIAL PLANNING ADVISORS DUNCAN FINANCIAL PLANNING ADVISORS DUNCAN FINANCIAL GROUP LLC

Adviser Profile

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Brochure Summary

Overview

DUNCAN FINANCIAL PLANNING ADVISORS

DUNCAN FINANCIAL PLANNING ADVISORS

DUNCAN FINANCIAL GROUP LLC