HICKS & ASSOCIATES WEALTH MANAGEMENT, LLC
Adviser information for HICKS & ASSOCIATES WEALTH MANAGEMENT, LLC last updated from Form ADV on March 1st, 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 | 6 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 881 | $124.0M |
| Non-Discretionary | 0 | $0 |
| Total | 881 | $124.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 238 | $73.5M |
| HNW Individuals | 43 | $50.4M |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $0 |
| Charitable organizations | <5 | $0 |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | <5 | $42,853 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-126797 |
|---|---|
| SEC ERA File Number | 801-126797 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 323171 |
| Legal Entity Identifier | None |
Principal Office
1225 CRESCENT GREENSUITE 100
CARY
NC
United States
Monday - Friday, 8:00 - 5:00
Tel: 919-851-5512, Fax: None
Chief Compliance Officer
CARMAN THEODORE HICKS II
1225 CRESCENT GREEN
SUITE 100
CARY
NC
United States
Tel:
919-851-5512
T*******@*******************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 |
|---|---|---|---|---|---|
| HICKS, CARMAN, THEODORE | Individual | – | CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER & MEMBER | 08/2022 | > 75% |