IP FINANCIAL ADVISORY SERVICES LLC
Adviser information for IP FINANCIAL ADVISORY SERVICES LLC last updated from Form ADV on March 25th, 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 | 92 |
|---|---|
| Investment Advisory/Research | 92 |
| Registered Broker-Dealer Representatives | 86 |
| Registered State Investment Advisers | 92 |
| Licensed Agents of an Insurance Company | 86 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,221 | $186.2M |
| Non-Discretionary | 804 | $64.3M |
| Total | 2,025 | $250.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,401 | $250.5M |
| HNW Individuals | 0 | $0 |
| 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 | 0 | $0 |
| 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 | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)CONSULTING SERVICES TO QUALIFIED RETIREMENT PLANS |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesRECURRING FEES |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-117481 |
|---|---|
| SEC ERA File Number | 801-117481 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 305772 |
| Legal Entity Identifier | None |
Principal Office
5950 FAIRVIEW ROAD, SUITE 140CHARLOTTE
NC
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 980-326-3335, Fax: None
Websites
Chief Compliance Officer
GREGORY SMITH
5950 FAIRVIEW ROAD
SUITE 140
CHARLOTTE
NC
United States
Tel:
980-326-3335
M*********@*************************M
(Full email address available in API data)
Regulatory Contact
LEI JIAO
FINOP, COO AND COMPLIANCE PRINCIPAL
5950 FAIRVIEW ROAD
SUITE 140
CHARLOTTE
NC
United States
Tel:
980-326-3335
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 |
|---|---|---|---|---|---|
| IPFAS HOLDINGS LLC | Domestic Entity | – | STOCKHOLDER | 03/2019 | > 75% |
| LAWRENCE, ANTHONY, MCDONALD | Individual | – | CO-PRESIDENT AND MGA | 09/2019 | < 5% |
| ZHENG, QIAN | Individual | – | FINANCE ANALYST | 09/2020 | < 5% |
| Jiao, Lei | Individual | – | FINOP, COO AND CCO | 03/2022 | < 5% |
| King, Kelly, Ann | Individual | – | PRESIDENT | 01/2023 | < 5% |