Duke Smith
Duke Smith is a registered investment advisor at Alphastar Capital Management, based in Cornelius, NC, with 7 years of industry experience. Duke operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 11,592 clients with $1.8B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Alphastar Capital Management's fees for investment advisory services are a percentage of the assets managed. The maximum annual rate is 2.25%, but the specific rate is negotiated with each client. Fees are calculated based on the average daily market value of your investments and are billed at the end of each month or quarter. The firm may also charge an annual administrative fee of up to $50 per account.
Location
19600 West Catawba Avenue, Suite B200, Cornelius, NC, 28031
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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
Duke sells life insurance and annuities through his financial planning business, Resilience Wealth Management, which he founded in September 2021. This activity takes about a quarter of Duke's time.
Employment History
Current Registrations
Alphastar Capital Management
Previous Registrations
Rooted Wealth Advisors
Ae Wealth Management, LLC
Wall Street Financial Group, INC.
State Registrations2 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.