Ashley E. Duffey

CONCENTRIC

WALNUT CREEK, CA 94596

Some features on this profile are disabled

CRD#: 6993529

Professional summary

Ashley Elaine Duffey, who also goes by Ashley Elaine Mann, Ashley Mann, is a registered financial advisor currently at CONCENTRIC located in Walnut Creek, California.

Ashley is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Ashley has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ashley Elaine Mann | Ashley Mann

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

a.Name of Business: Otter Creek LLC b.Not investment-related c.Address: 1551 North Waterfront Parkway, Suite 320, Wichita KS 67206 d.Nature of business: real estate holdings e.Position: part-owner (no voting rights) f.Title: part-owner g.Start date of relationship: 2009 h.Approx. number of hours devoted to other business: 0 i.Duties: none

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ashley Elaine Duffey's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 10, 2024 - Present

CONCENTRIC

Office #1: 1333 N. California Blvd Suite 680, Walnut Creek, CA 94596

RIA

CRD#: 321633

WALNUT CREEK, CA

Past

August 31, 2018 - February 27, 2023

PERSONAL CAPITAL ADVISORS CORPORATION

RIA

CRD#: 155172

Denver, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CONCENTRIC

ADVISOR PARTNERS | CONCENTRIC | ADVISOR PARTNERS II, LLC

CRD#: 321633 / SEC#: 801-125744

RIA

Registered Investment Advisory firm - (5/25/2022 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(7/10/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/31/2018

Uniform Investment Adviser Law Examination

Current Firm

CONCENTRIC

ADVISOR PARTNERS | CONCENTRIC | ADVISOR PARTNERS II, LLC

CRD#: 321633 / SEC#: 801-125744

RIA

Registered Investment Advisory firm - (5/25/2022 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1333 N. California Blvd Suite 680, Walnut Creek, CA 94596

Mailing Address

Phone number

(888) 265-2257

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (42 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CONCENTRIC PART 2A FORM ADV 08012025 (8/1/2025)

Regulatory assets under management

Total Number of Accounts	3,552
AUM (Assets Under Management)	$ 7,668,325,922

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

John Israel

STRATEGIC ADVISERS LLC

IAR

SAN RAMON, CA

Jason Cooke

EDELMAN FINANCIAL ENGINES

IAR

DANVILLE, CA

Daniel Torres

NYLIFE SECURITIES LLC

BRENTWOOD, CA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ashley E. Duffey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ashley Elaine Duffey's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONCENTRIC

PERSONAL CAPITAL ADVISORS CORPORATION

Primary Firm SEC Registration

CONCENTRIC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/31/2018

Current Firm

CONCENTRIC

Contact information

SEC notice filing (42 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONCENTRIC

TRUST BUT VERIFY

Similar Advisors