NORRIS FINANCIAL GROUP, LLC
Adviser information for NORRIS FINANCIAL GROUP, LLC last updated from Form ADV on March 13th, 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 | South Carolina, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 747 | $195.6M |
| Non-Discretionary | 0 | $0 |
| Total | 747 | $195.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 397 | $61.9M |
| HNW Individuals | 61 | $131.8M |
| 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 | $1,319 |
| 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 | 7 | $2.0M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 5 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 195.6M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| WEALTH MANAGEMENT PLATFORM - ADVISOR MANAGED PORTFOLIOS PROGRAM | VISION2020 WEALTH MANAGEMENT CORP. |
Identifiers
| SEC RIA File Number | 801-112958 |
|---|---|
| SEC ERA File Number | 801-112958 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 129422 |
| Legal Entity Identifier | None |
Principal Office
605 N. MAIN STREETGREENVILLE
SC
United States
MONDAY-THURSDAY 8:30-5:00, FRIDAY 8:30-4:00, 8:30 A.M. TO 5:00 P.M.
Tel: 864-235-6408, Fax: 864-235-1186
Chief Compliance Officer
TERRY L. NORRIS
PRESIDENT
605 N. MAIN STREET
GREENVILLE
SC
United States
Tel:
864-235-6408
Fax:
864-235-1186
T**********@***********************M
(Full email address available in API data)
Regulatory Contact
JUSTIN NORRIS
DIRECTOR OF OPERATIONS
605 N. MAIN STREET
GREENVILLE
SC
United States
Tel:
864-235-6408
Fax:
864-235-1186
J*******@***********************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 |
|---|---|---|---|---|---|
| TERRY L. NORRIS FINANCIAL SERVICES, CORP. | Domestic Entity | – | MEMBER | 12/1999 | > 75% |
| NORRIS, TERRY, LYNN | Individual | TERRY L. NORRIS FINANCIAL SERVICES, CORP. | PRESIDENT | 03/1997 | > 75% |
| NORRIS, TERRY, LYNN | Individual | – | CHIEF COMPLIANCE OFFICER, PRESIDENT | 03/2007 | < 5% |