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Adviser Profile

As of Date 02/23/2025
Adviser Type - Large advisory firm
Number of Employees 13 30.00%
of those in investment advisory functions 8 60.00%
Registration North Carolina, Terminated, 08/19/2020
Other registrations (3)
AUM* 377,153,984 64.73%
of that, discretionary 373,304,386 65.33%
Private Fund GAV* 0
Avg Account Size 338,863 17.07%
% High Net Worth 23.30% 18.99%
SMA’s Yes
Private Funds 0
Contact Info 704 xxxxxxx
Websites

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pension and profit sharing plans
- Charitable organizations

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers
- Educational seminars/workshops

Compensation Arrangments

- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

Reported AUM

Discretionary
Non-discretionary
226M 194M 161M 129M 97M 65M 32M
2020 2021 2022 2023

Private Funds

No private funds

Employees

Top Holdings

Stock Ticker Stock Name $ Position % Position $ Change # Change
Stck Ticker46138J825 Stock NameINVESCO EXCH TRD SLF IDX FD $ Position$22,379,397 % Position9.00% $ Change # Change
Stck Ticker46436E866 Stock NameISHARES TR $ Position$17,267,993 % Position7.00% $ Change # Change
Stck Ticker46434VBD1 Stock NameISHARES TR $ Position$17,934,021 % Position7.00% $ Change # Change
Stck Ticker808524201 Stock NameSCHWAB STRATEGIC TR $ Position$13,293,664 % Position5.00% $ Change # Change
Stck Ticker67066G104 Stock NameNVIDIA CORPORATION $ Position$8,391,110 % Position3.00% $ Change # Change
Stck Ticker78468R523 Stock NameSPDR SER TR $ Position$6,914,622 % Position3.00% $ Change # Change
Stck Ticker594918104 Stock NameMICROSOFT CORP $ Position$4,819,853 % Position2.00% $ Change # Change
Stck Ticker037833100 Stock NameAPPLE INC $ Position$5,061,239 % Position2.00% $ Change # Change
Stck Ticker11135F101 Stock NameBROADCOM INC $ Position$4,771,268 % Position2.00% $ Change # Change
Stck Ticker149123101 Stock NameCATERPILLAR INC $ Position$1,996,994 % Position1.00% $ Change # Change

Brochure Summary