DS
CFP
DS
CFP

Duane Kevin Shumaker

28 Years of Experience
1 Disclosure
Areas of Practice
Investment ManagementFinancial Planning & CoachingHigh Net Worth
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
26 advisors
Number of Clients
1,032 clients
Average Client Portfolio
$780K average
Assets Under Management
$804.8M

Fee Structure

Minimum Investment:$250K
Financial Planning:Included in AUM fee
AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $250K0.02%
$250K - $500K0.02%
$500K - $750K0.02%
$750K - $1000K0.02%
$1M+0.02%

This schedule is for Wrap Comprehensive Portfolio Management (asset management and financial planning). Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location

3567 E. Sunrise, Ste 119, Tucson, AZ, 85718

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History

Regulatory History (1)
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
November 2018
Settled
Other Business Activities

Duane is a managing partner at Shumaker, Wengren, LLC, where he prepares tax returns and supervises bookkeepers, dedicating about half his time. He also operates Robinson & Shumaker Wealth Management as a DBA for business conducted through Balboa Wealth Partners, Inc., spending about half his time on investments and securities trading.

Employment History
Current Registrations
Balboa Wealth Partners, INC.
February 2022 - Present · 4 yrs
Previous Registrations
First Financial Equity Corporation
February 2015 - February 2022 · 7 yrs
First Financial Equity CorporationBroker
January 2015 - February 2022 · 7 yrs 1 mo
H. Beck, INC.
January 2009 - February 2015 · 6 yrs 1 mo
H. Beck, INC.Broker
January 2009 - February 2015 · 6 yrs 1 mo
Pacific West Financial Consultant INC
June 2003 - January 2009 · 5 yrs 7 mos
Pacific West Financial Consultant INC
August 2002 - November 2002 · 3 mos
Pacific West Securities, INC.Broker
July 2002 - December 2008 · 6 yrs 5 mos
Royal Alliance Associates, INC.Broker
March 2002 - July 2002 · 4 mos
Pim Financial Services, INC.Broker
August 1998 - March 2002 · 3 yrs 7 mos
Waddell & Reed, INC.Broker
May 1998 - August 1998 · 3 mos
Dean Witter Reynolds INC.Broker
June 1996 - September 1997 · 1 yr 3 mos
State Registrations2 states
AZTX
Advisor
Exams
No exam information available for this advisor.
Duane Kevin Shumaker - Financial Advisor | TrueAdvisor