LAUREL WEALTH ADVISORS, LLC
Adviser information for LAUREL WEALTH ADVISORS, LLC last updated from Form ADV on March 12th, 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 | 8 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,373 | $850.8M |
| Non-Discretionary | 14 | $9.6M |
| Total | 1,387 | $860.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 436 | $145.6M |
| HNW Individuals | 196 | $648.2M |
| 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 | 15 | $19.4M |
| 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 | 22 | $47.2M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| 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 businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-69151 |
|---|---|
| SEC ERA File Number | 801-69151 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 118469 |
| Legal Entity Identifier | None |
Principal Office
1355 GREENWOOD CLIFFSTE. 301
CHARLOTTE
NC
United States
Monday - Friday, 8:30AM - 5:00PM
Tel: 704-927-4379, Fax: (704) 705-1558
Chief Compliance Officer
WILLIAM SUGG
PARTNER
1355 GREENWOOD CLIFF
STE. 301
CHARLOTTE
NC
United States
Tel:
704-927-4379
Fax:
(704) 705-1558
W****@***************M
(Full email address available in API data)
Regulatory Contact
MEREDITH T. RIGGINS
1355 GREENWOOD CLIFF
STE. 301
CHARLOTTE
NC
United States
Tel:
704-927-4379
Fax:
704-705-1558
Industry Affiliates
| MILLER MCNEISH & BREEDLOVE PA | Accountant or accounting firm |
| MILLER MCNEISH & BREEDLOVE PA | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| THOMPSON, MARK, STEPHEN | Individual | – | MANAGING MEMBER | 04/2008 | 10-25% |
| MCNEISH, DAVID, WILLIAM | Individual | – | MANAGING MEMBER | 10/1999 | 10-25% |
| BREEDLOVE, TIMOTHY, MARK | Individual | – | MANAGING MEMBER | 10/1999 | 10-25% |
| SUGG, WILLIAM, EDWARD | Individual | – | MANAGING MEMBER, CHIEF COMPLIANCE OFFICER | 06/2007 | 10-25% |
| WAIDE, DUSTIN, MARSHALL | Individual | – | MEMBER | 01/2015 | < 5% |
| JONES, JENNIFER, LYNN | Individual | – | MEMBER | 01/2015 | < 5% |