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Charlotte Capital, LLC (Charlotte)


Charlotte Capital, LLC is a large advisory firm based in Charlotte. It manages $241.51 million of regulatory assets for 16 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdiction of Texas.

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Charlotte Capital provides portfolio management for individuals and small businesses and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Charlotte Capital: assets under management

The assets under management (AUM) of Charlotte Capital, LLC is $241.51 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -2% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $241.51 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $15.09 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Charlotte Capital, LLC for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Indirect Owners

The SEC currently registers 5 indirect owners.

Name Entity Date acquired Ownership Employer ID
Kbc Bank And Insurance Holding Company Nv Shareholder 1 Jun 1998 75% - 100% foreign
Almanij Nv Shareholder 1 Jun 1998 50% - 75% foreign
Cera Holding Cvba Shareholder 1 Jun 1998 25% - 50% foreign
Llc Rosemont Partners General partner 1 Oct 2000 Other 06-1572887
Kbc Bank Nv Shareholder 1 Jan 2001 25% - 50% foreign

Based in Charlotte

The principal office where Charlotte Capital, LLC performs its advisory services is located at Providence Park, Suite 110, Charlotte, NC 28277, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 704-246-2420 or by fax 704-246-2439. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at charlottecapital.com.


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