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David Charles Rice

DUKE FUNDING MANAGEMENT, L.L.C.·OLD GREENWICH, Connecticut
Clean recordDUKE FUNDING MANAGEMENT, L.L.C.
53 FOREST AVENUE, OLD GREENWICH, CT 06870CRD# 5574821Firm CRD# 117590

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
David Charles Rice · OLD GREENWICH, CT
Registration
CRD #5574821 · DUKE FUNDING MANAGEMENT, L.L.C.
Brand Profile
Not yet started
Disclosure history
Clean record · no disclosure events on file
01

About

David Charles Rice is a registered financial advisor based in OLD GREENWICH, Connecticut, affiliated with DUKE FUNDING MANAGEMENT, L.L.C.. This profile is generated from public SEC and FINRA registration data.

02

Focus Areas

Specialties
Retirement Planning
Client Types
Pension & Retirement Plans
Introduction

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03

Firm Overview

Firm
DUKE FUNDING MANAGEMENT, L.L.C.
DUKE FUNDING MANAGEMENT, L.L.C.
AUM
$150M
Regulatory assets under management
Employees
162
Total firm employees
View all advisors at DUKE FUNDING MANAGEMENT, L.L.C. →
Services
Pension consulting
04

Background

Compensation
Percentage of AUM
Performance-based fees
Regulatory
SEC/IARD CRD# 5574821
Firm CRD# 117590
View on FINRA BrokerCheck →

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05

Frequently Asked Questions

What services does David Charles Rice offer?
David Charles Rice specializes in Retirement Planning. Contact their office in OLD GREENWICH, Connecticut for a consultation.
What are David Charles Rice's credentials?
David Charles Rice is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is David Charles Rice located?
David Charles Rice is based in OLD GREENWICH, Connecticut, working with DUKE FUNDING MANAGEMENT, L.L.C.. Their office serves clients in the OLD GREENWICH metropolitan area and surrounding communities.
How does David Charles Rice charge for services?
David Charles Rice's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is DUKE FUNDING MANAGEMENT, L.L.C.?
DUKE FUNDING MANAGEMENT, L.L.C. has approximately 162 employees and manages $150M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Nearby cities in Connecticut
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Research
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