PENDLETON FINANCIAL WEALTH MANAGEMENT

RIASEC RegisteredEst. 2023

Total AUM

$160M

Discretionary

$160M

100% of AUM

Avg account

$438K

Accounts

365

Employees

Advisory reps

Firm details

Headquarters: RALEIGH, North Carolina
CRD number: 325303
Registered since: May 15, 2023
Website: www.pendletonfinancial.com
Custodians: CHARLES SCHWAB & CO., INC., ASCENSUS TRUST
Fee structure: Percentage of AUM, Fixed Fees
Client types: Pension & Profit Sharing Plans43.65%
HNWI42.16%
Individuals11.93%
Corporations / Businesses2.27%
Services: Financial PlanningPortfolio Management for IndividualsPension ConsultingSelection of Other AdvisersPublication of PeriodicalsEducational Seminars / Workshops

Firm profile

FINTRX

Overview

Pendleton Financial Wealth Management operates as an independent LLC registered with the SEC in 2023 and owned by an individual principal. The firm positions itself as a capital allocator for both high-net-worth individuals and families as well as select institutional clients. Its advisory services combine financial planning with portfolio management for individuals and small businesses, plus pension consulting support, selection of other advisers, client education through seminars/workshops, and periodic publications. Investment activity is concentrated in pooled public vehicles, with a strong tilt toward mutual funds and other public funds. At the same time the firm deploys third‑party alternative managers across private markets, and it uses annuities and mutual funds as part of client solutions. Pendleton Financial is not an active ESG investor and, according to its filing, operates as a single‑state adviser.