Duane Umphress
Duane Umphress is a registered investment advisor at LPL Enterprise, LLC, based in Columbus, OH, with 7 years of industry experience. Duane is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Divorce Planning, Education Planning, Estate Planning, Insurance Planning, and 3 more. Their firm serves 102,563 clients with $25B 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 | 2.35% |
Maximum advisory fee for Model Wealth Portfolios is 2.35% and is negotiable, plus manager fees ranging from 0% to 0.60%. Third-party asset management fees typically max out at 2.0%.
Fee Estimator
Location
One Easton Oval, Suite 550, Columbus, OH, 43219
Get directionsHistory
Regulatory History (1)
Financial
September 2018Other Business Activities
Duane will be bartending and serving at Grandad's Pizza & Pub, starting in December 2024. This outside employment, unrelated to investments, will take about 10-20% of his time.
Employment History
Current Registrations
LPL Enterprise, LLC
LPL Enterprise, LLCBroker
Previous Registrations
Prudential Financial Planning Services
Pruco Securities, LLC.Broker
J.P. Morgan Securities LLC
J.P. Morgan Securities LLCBroker
State Registrations5 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.
Exams
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