TrueAdvisor
TrueAdvisor
DK
DK

Duane Knopke

Independent Financial Group, LLC
50 Years of Experience
Escondido, CA
6 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Duane Knopke is a registered investment advisor at Independent Financial Group, LLC, based in Escondido, CA, with 50 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 Alternative Investments, Annuities, Business Owners, Charitable Giving, and 9 more. Their firm serves 26,635 clients with $13B in assets under management.

Independent Financial Group, LLC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
541 advisors
Number of Clients
26,635 clients
Average Client Portfolio
$485K average
Assets Under Management
$12.9B

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Up to $250K2.00%
$250K - $500K2.00%
$500K - $1.0M2.00%
$1.0M - $2.0M2.00%
$2.0M - $5.0M2.00%
$5M+2.00%

Maximum advisor fee is shown; program fees (0.04% to 0.16%) and transaction charges may apply depending on the selected program. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Escondido, CA

Get directions

History

Regulatory History (6)
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.
Judgment / Lien
October 2018
Judgment / Lien
December 2015
Judgment / Lien
October 2012
Judgment / Lien
March 2012
Judgment / Lien
November 2010
Judgment / Lien
March 2009
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Duane works as an independent contractor selling life, health, and disability insurance since 2021. This activity takes about 10-20% of his time and is investment-related.

Employment History
Current Registrations
Independent Financial Group, LLC
March 2009 - Present · 17 yrs 7 mos
Independent Financial Group, LLCBroker
March 2009 - Present · 17 yrs 7 mos
Previous Registrations
LPL Financial Corporation
November 1998 - March 2009 · 10 yrs 4 mos
LPL Financial CorporationBroker
November 1998 - March 2009 · 10 yrs 4 mos
Everen Securities, INC.Broker
September 1990 - November 1998 · 8 yrs 2 mos
Bateman Eichler, Hill Richards, IncorporatedBroker
January 1986 - September 1990 · 4 yrs 8 mos
Shearson Lehman Brothers INC.Broker
March 1984 - January 1986 · 1 yr 10 mos
Universal Heritage Investments CorporationBroker
September 1977 - March 1984 · 6 yrs 6 mos
Ids Life Insurance CompanyBroker
October 1975 - November 1977 · 2 yrs 1 mo
Ids Marketing CorporationBroker
October 1975 - November 1977 · 2 yrs 1 mo
Investors Diversified Services, INC.Broker
October 1975 - November 1977 · 2 yrs 1 mo
State Registrations7 states
AZCAFLMIMNNVTN
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.
More Advisors
More financial advisors in Escondido, CA →All financial advisors in California →