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Duane Smith

Momentum Independent Network INC.
31 Years of Experience
Englewood, CO
3 DisclosuresBroker
View SEC Summary
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Duane Smith is a registered investment advisor at Momentum Independent Network INC., based in Englewood, CO, with 31 years of industry experience. Duane is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Estate Planning, Investment Management, and 2 more. Their firm serves 2,879 clients with $1.6B in assets under management.

Momentum Independent Network INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
131 advisors
Number of Clients
2,879 clients
Average Client Portfolio
$559K average
Assets Under Management
$1.6B

Fee Structure

Minimum Investment:$30K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K2.25%
$250K - $500K2.00%
$500K - $1.0M1.75%
$1M+1.50%

Rates reflect the maximum annualized fee schedule for individual securities accounts across primary advisory programs. Other programs and asset classes (such as mutual fund only accounts or fixed income portfolios) feature different maximum fee schedules ranging down to 0.90%. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Englewood, CO

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 2014
Settled
Customer Dispute
August 2014
Closed-No Action
Employment Separation After Allegations
August 2008
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Momentum Independent Network INC.Broker
January 2023 - Present · 3 yrs 9 mos
Momentum Independent Network INC.
January 2023 - Present · 3 yrs 9 mos
Previous Registrations
Ntb Advisors, a Division of Ntb Financial Corporation
March 2014 - December 2022 · 8 yrs 9 mos
Ntb Financial CorporationBroker
March 2014 - December 2022 · 8 yrs 9 mos
Stifel, Nicolaus & Company, IncorporatedBroker
August 2008 - March 2014 · 5 yrs 7 mos
Stifel, Nicolaus & Company, Incorporated
August 2008 - March 2014 · 5 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
January 1999 - September 2008 · 9 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 1995 - September 2008 · 13 yrs 3 mos
State Registrations11 states
AZCACOIDKSMIMNOHOKUTWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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