SOUTHEAST FINANCIAL GROUP

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	North Carolina, United States

Employees

Total Number of Employees	3
Investment Advisory/Research	3
Registered Broker-Dealer Representatives	3
Registered State Investment Advisers	3
Licensed Agents of an Insurance Company	2
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	275	$131.4M
Non-Discretionary	49	$46.4M
Total	324	$177.8M

Clients

Type	Number	RAUM
Individuals	81	$28.4M
HNW Individuals	51	$118.1M
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	$31.3M
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	0	$0
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
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 chargesCommissions
Other Business Activities	Registered representative of a broker-dealerInsurance broker or agent

Identifiers

SEC RIA File Number	801-80573
SEC ERA File Number	801-80573
SEC CIK Numbers	1730971
SEC CRD Numbers	151216
Legal Entity Identifier	None

Principal Office

7780 BRIER CREEK PARKWAY
SUITE 325
RALEIGH
NC
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic