John Duval is a registered investment advisor at Bantam INC., based in Staatsburg, NY, with 12 years of industry experience. John operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, High Net Worth, Investment Management, Retirement Planning. Their firm serves 3 clients with $26M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
Fixed Income portfolios are charged 0.25% annually.
Fee Estimator
Location
107 East Meadowbrook Lane, Staatsburg, NY, 12580
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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 Activities
John manages and serves as an expert witness in a securities litigation consulting firm. He does not provide investment advice or receive commissions in this role.
Employment History
Current Registrations
Bantam INC.
Previous Registrations
Bantam INC.
Merrill Lynch Pierce Fenner & Smith INC.
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.