AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $0.4 |
| Non-Discretionary | $0.0 |
| Total | $0.5 |
| Client | AUM |
|---|---|
| Retail | $0.5 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $0.5 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 528 | $0.2 |
| Average Individual AUM | $313,390 | |
| HNW | 182 | $0.3 |
| Average HNW AUM | $1,591,773 | |
| Retail Total | 710 | $0.5 |
| Average Retail AUM | $641,089 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| FIDELITY BROKERAGE SERVICES LLC | SMITHFIELD-RI-USA | $0.4 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.5 |
| Retail SMA AUM | $0.5 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 30% | $0.1 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 64% | $0.3 |
| Other Pools | 0% | $0.0 |
| Cash | 3% | $0.0 |
| Other | 3% | $0.0 |
| Total | 100% | $0.5 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| ESTATE & RETIREMENT CONSULTANTS OF THE FOOTHILLS, INC. | $0.0 | - | |
| PIER 28 REALTY, INC. | $0.0 | - | |
| COVENANT PRIVATE CAPITAL, INC. | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
7 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| JOHN PHILPOTT | CORNELIUS | NC | S65|2009-11-20 | ||||||
| THOMAS FARRELL | CORNELIUS | NC | S66|2008-08-15|S65|2014-11-14 | CERTIFIED FINANCIAL PLANNER | |||||
| GREGORY PADGITT | CORNELIUS | NC | S65|2007-12-06|S66|2014-09-30 | CERTIFIED FINANCIAL PLANNER | |||||
| ANTONIO BURKETT | CORNELIUS | NC | S63|2012-03-01 | CERTIFIED FINANCIAL PLANNER | |||||
| THOMAS KELLY | CORNELIUS | NC | S65|2011-10-15 | ||||||
| COLBY CLARK | CORNELIUS | NC | S66|2016-08-02 | ||||||
| JAIME GUEVARA | CORNELIUS | NC | S63|2011-04-04|S65|2016-08-18 | ||||||
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-05-02 | $0.5 | $0.0 | 0% | 9 | 0 | 0% |
| 2025-04-21 | $0.5 | $0.0 | 0% | 9 | 0 | 0% |
| 2024-04-02 | $0.4 | $0.1 | 17% | 8 | 1 | 12% |
| 2023-04-04 | $0.3 | $0.2 | 54% | 11 | -2 | -18% |
| 2022-04-01 | $0.3 | $0.1 | 34% | 12 | -3 | -25% |
| 2021-04-05 | $0.3 | $0.2 | 52% | 12 | -3 | -25% |
| 2020-04-01 | $0.2 | $0.2 | 97% | 11 | -2 | -18% |
| 2019-04-01 | $0.2 | $0.3 | 162% | 10 | -1 | -10% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| NC, FL-08/01/2018, GA-08/01/2018, NC-08/01/2018, SC-08/01/2018, TN-08/01/2018, TX-09/25/2018, VA-01/27/2023 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PENSION CONSULTING MANAGER SELECTION EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV