RD
RD
Richard Dupont
25 Years of Experience
Palo Alto, CA
3 DisclosuresBroker
Richard Dupont is a registered investment advisor at J.P. Morgan Securities LLC, based in Palo Alto, CA, with 25 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning, Socially Responsible Investing. Their firm serves 1,246,646 clients with $430B in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
14260 advisors
Number of Clients
1,246,646 clients
Average Client Portfolio
$345K average
Assets Under Management
$429.7B
Fee Structure
Minimum Investment:$25K
Planning is included in investment management
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 0.60% |
| $250K+ | 0.50% |
Clients with $1,000,000 or more as of May 31, 2024, continue to pay 0.40%.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
2100 El Camino Real, Palo Alto, CA, 94306
Get directionsHistory
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
June 2009Settled
Criminal
December 1992Final Disposition
Criminal
February 1990Final Disposition
Employment History
Current Registrations
J.P. Morgan Securities LLC
March 2024 - Present · 2 yrs 7 mos
J.P. Morgan Securities LLCBroker
September 2023 - Present · 3 yrs 1 mo
Previous Registrations
First Republic Securities Company, LLCBroker
July 2019 - September 2023 · 4 yrs 2 mos
J.P. Morgan Private Wealth Advisors LLC
July 2019 - March 2025 · 5 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2009 - July 2019 · 9 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - July 2019 · 9 yrs 9 mos
Banc of America Investment Services, INC.Broker
April 2003 - October 2009 · 6 yrs 6 mos
Banc of America Investment Services, INC.
April 2003 - October 2009 · 6 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 2001 - April 2003 · 2 yrs 3 mos
Merrill Lynch Pierce Fenner & Smith INC.
January 2001 - April 2003 · 2 yrs 3 mos
State Registrations52 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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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