Thomas Duffy
Thomas Duffy is a registered investment advisor at Knights of Columbus Asset Advisors LLC, based in New Haven, CT, with 12 years of industry experience. Thomas 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
One Columbus Plaza, New Haven, CT, 06510
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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
Thomas is a registered representative with Vigilant Distributors, dedicating minimal time. He also holds multiple positions with the Knights of Columbus, including Vice President of Knights of Columbus Insurance (taking about half of his time) and roles within St. George Parish.
Employment History
Current Registrations
Knights of Columbus Asset Advisors LLC
Vigilant Distributors, LLCBroker
Previous Registrations
Foreside Fund Services, LLCBroker
Bacap Distributors, LLCBroker
State Registrations51 states
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.