Carolina Capital Consulting, Inc. (Charlotte)
Carolina Capital Consulting, Inc. is a large advisory firm based in Charlotte. It manages $284.1 million of regulatory assets for 557 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdictions of Louisiana, North Carolina, and Texas.
Carolina Capital Consulting provides financial planning services and portfolio management for individuals and small businesses. It prepares financial plans for more than 50 clients. On top of advisory services, the firm doesn't engage in other business activities.
Carolina Capital Consulting: assets under management
The assets under management (AUM) of Carolina Capital Consulting, Inc. is $284.1 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 468% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.
Investments
The firm invests in non-exchange traded securities the most. They account for 73% of the total AUM. The second-largest asset type is exchange traded securities, which make up 17% of the firm’s portfolio. Investments in cash and cash equivalents form 7% of the total invested assets.Fees & Commissions
The advisory firm has several streams of revenue. Clients pay Carolina Capital Consulting, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.
What kind of clients Brian Hadley Fenn serves?
The firm provides services to individuals and high net worth individuals. The largest group of clients of Brian Hadley Fenn is high net worth individuals with 79 clients and $273.07 million of assets under management. Among the 7 most similar advisory firms, Carolina Capital Consulting has the 3rd highest percentage of high net worth individuals out of all clients.
The amount of regulatory assets under management is $284.1 million for 108 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.
Carolina Capital Consulting doesn't advise any private funds.
Careers at Carolina Capital Consulting, Inc.
The company employs 4 people that are either part- or full-time employees. 25 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative with the state securities authorities.
There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.
Direct owners and executive officers
Based in Charlotte
The principal office where Carolina Capital Consulting, Inc. performs its advisory services is located at 3545 Whitehall Park Drive, Charlotte, NC 28273, 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 704-541-3199 or by fax 866-323-5147. The normal business hours are 8:30 a.m to 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at 3ccc.com.
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