BRAGG FINANCIAL ADVISORS INC
Adviser information for BRAGG FINANCIAL ADVISORS INC last updated from Form ADV on March 15th, 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 | 31 |
|---|---|
| Investment Advisory/Research | 14 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 14 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,532 | $3.4B |
| Non-Discretionary | 0 | $0 |
| Total | 1,532 | $3.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 849 | $276.6M |
| HNW Individuals | 610 | $2.2B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 2 | $731.7M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $12.9M |
| Charitable organizations | 37 | $61.6M |
| 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 | 33 | $109.8M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 8 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-56890 |
|---|---|
| SEC ERA File Number | 801-56890 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 108780 |
| Legal Entity Identifier | None |
Principal Office
1031 SOUTH CALDWELL STSUITE 200
CHARLOTTE
NC
United States
Monday - Friday, 8:30-5:30
Tel: 704-377-0261, Fax: 704-334-9754
Chief Compliance Officer
DAWN CANNON
COMPLIANCE OFFICER
1031 SOUTH CALDWELL STREET
SUITE 200
CHARLOTTE
NC
United States
Tel:
704-377-0261
Fax:
704-334-9754
D***@*****************M
(Full email address available in API data)
Regulatory Contact
BENTON S. BRAGG
PRESIDENT
1031 SOUTH CALDWELL STREET
SUITE 200
CHARLOTTE
NC
United States
Tel:
704-714-7707
Fax:
704-334-9754
B*****@*****************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 |
|---|---|---|---|---|---|
| BRAGG, BENTON, SELLERS | Individual | – | PRESIDENT, CEO | 08/1998 | 25-50% |
| BRAGG, JOHN, FRANK | Individual | – | SECRETARY | 08/1992 | 25-50% |
| SCRUGGS, KATHARINE, TERRY | Individual | – | SHAREHOLDER | 01/1996 | 5-10% |
| BRAGG, PHILLIPS, MCLEOD | Individual | – | VICE PRESIDENT | 05/1996 | 25-50% |
| SCRUGGS, STEVEN, HARRISON | Individual | – | SHAREHOLDER, PORTFOLIO MANAGER | 01/2002 | 10-25% |
| CANNON, DAWN, MARIE | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2019 | < 5% |
| MUCKLEY, JENNIFER, DAWN | Individual | – | CHIEF OPERATING OFFICER | 06/2022 | < 5% |