PRIVATE WEALTH MANAGEMENT OF NORTH CAROLINA LLC
Adviser information for PRIVATE WEALTH MANAGEMENT OF NORTH CAROLINA LLC last updated from Form ADV on February 26th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 837 | $165.1M |
| Non-Discretionary | 0 | $0 |
| Total | 837 | $165.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 427 | $30.1M |
| HNW Individuals | 37 | $119.5M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $15.5M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 87.4M |
| Both for Same | 87.4M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| PRIVATE WEALTH MANAGEMENT OF NORTH CAROLINA WRAP FEE PROGRAM | PRIVATE WEALTH MANAGEMENT OF NORTH CAROLINA LLC |
Identifiers
| SEC RIA File Number | 801-108507 |
|---|---|
| SEC ERA File Number | 801-108507 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 149889 |
| Legal Entity Identifier | None |
Principal Office
129 W. BELLE STREETHENDERSON
NC
United States
Monday - Friday, 8:30AM TO 5PM
Tel: 252-492-8694, Fax: 252-738-8929
Chief Compliance Officer
TONEY OTIS FALKNER, III
MANAGING PARTNER
129 W. BELLE STREET
HENDERSON
NC
United States
Tel:
252-492-8694 EXT 1
Fax:
252-738-8929
T****@**********M
(Full email address available in API data)
Regulatory Contact
MATTHEW WOODLIEF
OPERATIONS MANAGER
129 W. BELLE STREET
HENDERSON
NC
United States
Tel:
252-492-8694 EXT 3
Fax:
252-738-8929
M***@**********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FALKNER, TONEY, OTIS | Individual | – | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | 10/2009 | > 75% |