PIEDMONT CAPITAL MANAGEMENT, LLC
Adviser information for PIEDMONT CAPITAL MANAGEMENT, LLC last updated from Form ADV on March 18th, 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 | North Carolina, United States |
Employees
| Total Number of Employees | 23 |
|---|---|
| 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 | 215 | $371.3M |
| Non-Discretionary | 0 | $0 |
| Total | 215 | $371.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 33 | $5.6M |
| HNW Individuals | 57 | $221.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $109.3M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 5 | $20.4M |
| 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 | <5 | $14.7M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 4 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-110286 |
|---|---|
| SEC ERA File Number | 801-110286 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 155682 |
| Legal Entity Identifier | None |
Principal Office
800 GREEN VALLEY RD., STE 203GREENBORO
NC
United States
Monday - Friday, 9:00 AM TO 5 PM
Tel: 336-274-5471, Fax: 336-272-8921
Chief Compliance Officer
MARIA STURGES
CHIEF OPERATING OFFICER
800 GREEN VALLEY RD., STE 203
GREENSBORO
NC
United States
Tel:
336-574-8671
Fax:
336-740-9853
M************@****************M
(Full email address available in API data)
Regulatory Contact
JOHN SIMMS
CHIEF INVESTMENT STRATEGIST
800 GREEN VALLEY RD, STE 203
GREENSBORO
NC
United States
Tel:
336-574-8685
Fax:
336-740-9830
J*********@****************M
(Full email address available in API data)
Industry Affiliates
| PIEDMONT TRUST COMPANY | Trust company |
| RICHARDSON PROPERTIES | Real estate broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| PIEDMONT PARTNERS FUND, LLC | MIX 30% HEDGE FUND 70% LONG ONLY | $109.3M | $0.0M | 38 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PIEDMONT FINANCIAL, LLC | Domestic Entity | – | OWNER | 09/2011 | > 75% |
| SIMMS, JOHN, MEREDITH | Individual | – | CHIEF INVESTMENT STRATEGIST | 09/2011 | < 5% |
| RICHARDSON CORPORATION | Domestic Entity | PIEDMONT FINANCIAL, LLC | OWNER | 09/2011 | > 75% |
| GLEASON, SUSAN, BENSON | Individual | – | CEO / PRESIDENT / TREASURER | 12/2023 | < 5% |
| STURGES, MARIA, LYNN | Individual | – | CHIEF OPERATING OFFICER / CHIEF COMPLIANCE OFFICER | 01/2022 | < 5% |
| Smith, Daniel, Felton | Individual | – | CHIEF INVESTMENT OFFICER | 01/2022 | < 5% |