PENDLETON FINANCIAL WEALTH MANAGEMENT
PENDLETON FINANCIAL, LLC Legal Name
Adviser information for PENDLETON FINANCIAL WEALTH MANAGEMENT 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 |
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Fiscal Year End | DECEMBER |
Legal Location | North Carolina, United States |
Employees
Total Number of Employees | 1 |
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Investment Advisory/Research | 1 |
Registered Broker-Dealer Representatives | 0 |
Registered State Investment Advisers | 1 |
Licensed Agents of an Insurance Company | 1 |
No. of Firms/People that Solicit Clients | 0 |
RAUM
Provides Management of Securities Portfolios | Yes |
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Type | Accounts | RAUM |
---|---|---|
Discretionary | 284 | $110.5M |
Non-Discretionary | 0 | $0 |
Total | 284 | $110.5M |
Clients
Type | Number | RAUM |
---|---|---|
Individuals | 36 | $7.3M |
HNW Individuals | 64 | $49.3M |
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 | 11 | $51.9M |
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 | <5 | $2.0M |
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 servicesSelection of other advisers (including private fund managers)Publication of periodicals or newsletters |
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Compensation | % of AUMFixed fees |
Identifiers
SEC RIA File Number | 801-127988 |
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SEC ERA File Number | 801-127988 |
SEC CIK Numbers | None |
SEC CRD Numbers | 325303 |
Legal Entity Identifier | None |
Principal Office
2607 OBERLIN ROADSUITE 100
RALEIGH
NC
United States
Monday - Friday, 9:00 A.M TO 5:00 P.M.
Tel: 919-781-4167, Fax: N/A
Chief Compliance Officer
GRAY ELLIS PENDLETON
PRESIDENT,CEO, MANAGING MEMBER & CCO
2607 OBERLIN ROAD
SUITE 100
RALEIGH
NC
United States
Tel:
919-781-4167
Fax:
N/A
G**********@********M
(Full email address available in API data)
Industry Affiliates
None |
Private Funds
Name | Type | Assets $USD | Min Investment $USD | No. Owners |
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None
Control Persons
Name | Type | Entity | Title | Since | Ownership |
---|---|---|---|---|---|
PENDLETON, GRAY, ELLIS | Individual | – | PRESIDENT, CEO, MANAGING MEMBER & CCO | 02/2023 | > 75% |