PIEDMONT WEALTH MANAGEMENT
MULLINS INVESTMENT SERVICES, LLC Legal Name
Adviser information for PIEDMONT WEALTH MANAGEMENT last updated from Form ADV on February 5th, 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 | Virginia, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 468 | $100.1M |
| Non-Discretionary | 11 | $2.3M |
| Total | 479 | $102.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 203 | $40.1M |
| HNW Individuals | 36 | $60.6M |
| 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 | $1.2M |
| 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 | $523,707 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 4 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-129622 |
|---|---|
| SEC ERA File Number | 801-129622 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 155899 |
| Legal Entity Identifier | None |
Principal Office
131 W. DAVIS STREETCULPEPER
VA
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 540-317-5372, Fax: 540-317-5382
Websites
Chief Compliance Officer
JAMES QUINTIN MULLINS
OWNER
131 W. DAVIS STREET
CULPEPER
VA
United States
Tel:
540-317-5372
Fax:
540-317-5382
Q*******@*************M
(Full email address available in API data)
Regulatory Contact
GARY CLAYTON
COMPLIANCE CONSULTANT
PO BOX 10254
KNOXVILLE
TN
United States
Tel:
865-770-1024
S******@*************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 |
|---|---|---|---|---|---|
| MULLINS, JAMES, QUINTIN | Individual | – | OWNER, CHIEF COMPLIANCE OFFICER | 11/2010 | > 75% |