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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

DUNCAN & HALEY, LTD.

CRD 109900

SEATTLE, WA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:40f906f6-fdc2-c4a8-a597-bebcb451a0e0

Data as of Sep 22, 2025 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 7
On other graphs: 1
Observed: Apr 29, 2014 to Sep 22, 2025
16 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

Duncan & Haley, Ltd.

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $664MItem 5.F on the latest filing (2025-09-22); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $253M
Private client RAUM: $241MderivedItem 5.D individuals plus high net worth individuals
Private client share: 36%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 110
High net worth clients: 86
SEC number: 801-79706
CRD: 109900
Filings on the tape: 16
First filed: Apr 29, 2014
Latest filed: Sep 22, 2025
Organised: Corporation, WA
Website: duncanhaley.com

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
HALEY, JOHN, COLBY	President	E	yes	01/2002	Apr 29, 2014	Mar 1, 2024
MORRISON, KELSEY, LEIGH	CCO, VP INSURANCE PRACTICE	C	no	01/2006	Apr 29, 2014	Mar 1, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Mar 13, 2025	$664M	$253M	4	4	0	n/a	n/a
2023	Mar 1, 2024	$571M	$210M	6	4	0	n/a	n/a
2022	Mar 23, 2023	$535M	$179M	6	3	0	n/a	n/a
2021	Apr 6, 2022	$592M	$202M	5	3	0	n/a	n/a
2020	Mar 22, 2021	$481M	$186M	5	3	0	n/a	n/a
2019	Apr 3, 2020	$458M	$168M	5	3	0	n/a	n/a
2018	Mar 4, 2019	$385M	$135M	5	3	1	n/a	n/a
2017	Mar 27, 2018	$376M	$126M	5	3	1	n/a	n/a
2016	Mar 17, 2017	$263M	$104M	5	3	n/a	n/a	n/a
2015	Mar 11, 2016	$239M	$94.4M	6	2	n/a	n/a	n/a
2014	May 1, 2015	$234M	$68.4M	4	2	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	3	-3	n/a	0	0	0	0	3

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$664M	$571M	16.4%	$592M	3.9%	4	6	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CREATIVE PLANNING	3	Mar 30, 2026	Mar 3, 2026	SEATTLE, WA	Firm absorbed	RIA to RIA	100.0%

Relationships

Registered with (3)

← JOHN COLBY HALEYAdvisorregistration: previous registration
Mar 1, 2024 to Mar 30, 2026factForm ADV
← KELSEY LEIGH MORRISONAdvisorregistration: previous registration
Mar 1, 2024 to Mar 30, 2026factForm ADV
← KRYSTLE SUMNER MCENTIREAdvisorregistration: previous registration
Mar 1, 2024 to Mar 30, 2026factForm ADV

Moved with (1)

→ CREATIVE PLANNINGRegistered adviser3 advisors, firm absorbed, same day
Mar 30, 2026 to Mar 3, 2026factForm ADV

Controls (1)

← HALEY, JOHN, COLBYOwnerPRESIDENT, ownership code E, individual
Apr 29, 2014 to Mar 1, 2024factForm ADV

Owns (1)

← MORRISON, KELSEY, LEIGHOwnerCCO, VP INSURANCE PRACTICE, ownership code C, individual
Apr 29, 2014 to Mar 1, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 30, 2026
Firm absorbed
Duncan & Haley, LTD.'s advisors moved to Creative Planning (Seattle, WA): 3 of 3 registered, on the same day
Form ADVobserved 4 days ago
3 advisors
Occurred
Mar 30, 2026
Advisor changed firm
Krystle Sumner Mcentire left Duncan & Haley, Ltd. for Creative Planning (registered 2026-03-03)
Form ADVobserved 4 days ago
Occurred
Mar 30, 2026
Advisor changed firm
John Colby Haley left Duncan & Haley, Ltd. for Creative Planning (registered 2026-03-03)
Form ADVobserved 4 days ago
Occurred
Mar 30, 2026
Advisor changed firm
Kelsey Leigh Morrison left Duncan & Haley, Ltd. for Creative Planning (registered 2026-03-03)
Form ADVobserved 4 days ago
Occurred
Mar 27, 2018
Regulatory AUM changed
Duncan & Haley, Ltd. reported RAUM $376.0M, up 43% from $263.2M (2017-03-17 to 2018-03-27)
Form ADVobserved 4 days ago
$113M
Occurred
Apr 29, 2014
First Form ADV filing
Duncan & Haley, Ltd. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Show 1 bookkeeping events

Occurred
Apr 1, 2026
Duncan & Haley, Ltd. no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $664.1M)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:40f906f6-fdc2-c4a8-a597-bebcb451a0e0
First observed: Apr 29, 2014
Last observed: Sep 22, 2025 12 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

DUNCAN & HALEY, LTD.

CRD 109900

SEATTLE, WA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:40f906f6-fdc2-c4a8-a597-bebcb451a0e0

Data as of Sep 22, 2025 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:52 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HALEY, JOHN, COLBY

President

yes

01/2002

Apr 29, 2014

Mar 1, 2024

MORRISON, KELSEY, LEIGH

CCO, VP INSURANCE PRACTICE

01/2006

Apr 29, 2014

Mar 1, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Mar 13, 2025

$664M

$253M

n/a

2023

Mar 1, 2024

$571M

$210M

n/a

2022

Mar 23, 2023

$535M

$179M

n/a

2021

Apr 6, 2022

$592M

$202M

n/a

2020

Mar 22, 2021

$481M

$186M

n/a

2019

Apr 3, 2020

$458M

$168M

n/a

2018

Mar 4, 2019

$385M

$135M

n/a

2017

Mar 27, 2018

$376M

$126M

n/a

2016

Mar 17, 2017

$263M

$104M

n/a

2015

Mar 11, 2016

$239M

$94.4M

n/a

2014

May 1, 2015

$234M

$68.4M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-3

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

$664M

$571M

16.4%

$592M

3.9%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CREATIVE PLANNING

Mar 30, 2026

Mar 3, 2026

SEATTLE, WA

Firm absorbed

RIA to RIA

100.0%