Dwain Dungen
Dwain Dungen is a registered investment advisor at Knights of Columbus Asset Advisors LLC, based in Columbus, TX, with 15 years of industry experience. Dwain operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 4,361 clients with $28B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $50.0M | 0.30% |
| $50M+ | 0.25% |
This fee schedule is for Fixed Income accounts. Separate accounts are generally subject to a $30 million account minimum for fixed income and a $5 million account minimum for equity. Minimum amounts may be waived in the discretion of KoCAA. Equity fees vary by strategy and AUM.
Fee Estimator
Location
Columbus, TX
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Dwain is a field agent for Knights of Columbus Insurance, selling life insurance, long-term care, disability income, and annuities since December 2023. This activity takes about half of his time.
Employment History
Current Registrations
Knights of Columbus Asset Advisors LLC
Previous Registrations
Lincoln Financial Securities CorporationBroker
Jefferson Pilot Securities CorporationBroker
Pruco Securities CorporationBroker
Jefferson Pilot Securities CorporationBroker
Berkshire Equity Sales, INC.Broker
Jefferson-Pilot Investor Services, INC.Broker
State Registrations1 state
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.