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CRD 47090
CHARLOTTE, NC
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| FREDRICK WILLIAM FISHER | Chartered Financial Consultant | CHARLOTTE, NC | 23 | 27 | n/a | yes |
| RICHARD WOODROW ADDIS | n/a | CHARLOTTE, NC | 22 | 27 | 1 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| ADDIS, RICHARD WOODROW JR | CHIEF OPERATING OFFICER, AML OFFICER, TECHNOLOGY OFFICER | D | yes | 02/2016 | Mar 1, 2022 | Jan 19, 2024 |
| FISHER, FREDRICK WILLIAM | CEO, CCO, CFO, FINOP | D | yes | 02/2016 | Mar 1, 2022 | Jan 19, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Feb 4, 2026 | $277M | $0 | 2 | 2 | 0 | n/a | n/a |
| 2024 | Feb 5, 2025 | $227M | $0 | 2 | 2 | 0 | n/a | n/a |
| 2023 | Jan 19, 2024 | $201M | $0 | 2 | 2 | 0 | n/a | n/a |
| 2022 | Apr 30, 2023 | $171M | $171M | 3 | 3 | 0 | n/a | n/a |
| 2021 | Mar 1, 2022 | $109M | $0 | 3 | 3 | 0 | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 0 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $277M | $227M | 21.9% | $171M | 17.5% | 2 | 2 | 0 | 0 |