THE WEALTH GROUP, LTD
Adviser information for THE WEALTH GROUP, LTD last updated from Form ADV on March 29th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | North Carolina, United States |
Employees
| Total Number of Employees | 11 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 7 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 518 | $245.0M |
| Non-Discretionary | 1 | $2.9M |
| Total | 519 | $247.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 261 | $60.5M |
| HNW Individuals | 102 | $178.5M |
| 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 | <5 | $4.6M |
| Charitable organizations | <5 | $372,899 |
| 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 | $3.9M |
| 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 businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-128145 |
|---|---|
| SEC ERA File Number | 801-128145 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 154106 |
| Legal Entity Identifier | None |
Principal Office
100 E. SIX FORKS ROADSUITE 200
RALEIGH
NC
United States
BY APPOINTMENT, 9-5
Tel: 919-865-1924, Fax: 919-865-1925
Websites
Chief Compliance Officer
CORNELIUS TRAWICK MCDONALD, III
PRESIDENT/CHIEF COMPLIANCE OFFICER
100 E. SIX FORKS ROAD
SUITE 200
RALEIGH
NC
United States
Tel:
919-863-2355
Fax:
919-865-1925
C**@***************M
(Full email address available in API data)
Industry Affiliates
| CAPITAL INVESTMENT BROKERAGE, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CAPITAL INVESTMENT GROUP, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| KEITH C. BECK, CPA | Accountant or accounting firm |
| PARKER AND PARKER, PA | Accountant or accounting firm |
| PHYSICIANS FINANCIAL SERVICES, INC. | Other investment adviser, including financial planners |
| SLEDGE AND COMPANY, PLLC | Accountant or accounting firm |
| SLEDGE AND COMPANY, PLLC | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MCDONALD, CORNELIUS, TRAWICK | Individual | – | PRESIDENT/CHIEF COMPLIANCE OFFICER | 11/2004 | > 75% |