Data / Investment advisers / North Carolina / Auctus Advisors LLC
Auctus Advisors LLC, Charlotte, NC: $613 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Auctus Advisors LLC is an SEC registered investment adviser with its main office in Charlotte, North Carolina and reports $613 million in regulatory assets under management in its Form ADV filed August 14, 2026. Its clients include high net worth individuals, individuals and pension and profit sharing plans. It is paid through a percentage of assets under management, fixed fees and other fees.
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- Registration
- SEC registered investment adviser
- CRD number
- 289489
- SEC file number
- 801-111919
- SEC status
- Approved, effective October 25, 2017
- Main office
- 325 Arlington Avenue Suite 625, Charlotte, NC 28203
- Phone
- (704) 533-9880
- Regulatory AUM
- $612,923,272 in the Form ADV filed August 14, 2026
- Discretionary AUM
- $612,923,272
- Accounts
- 731
- Employees
- 3, of which 2 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, fixed fees, other fees
- Other offices
- 1
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- August 14, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 129 | $580.2 million |
| Individuals (other than high net worth individuals) | 75 | $32.7 million |
| Pension and profit sharing plans | 14 | Not listed |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| March 2, 2026 | $612.9 million | February 27, 2026 |
| December 1, 2025 | $480.9 million | September 11, 2025 |
Other advisers in Charlotte
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Tannin Capital, LLC | Charlotte | $824.9 million | Not listed | adviserinfo.sec.gov |
| Strathmore Capital Advisors | Charlotte | $805 million | Not listed | adviserinfo.sec.gov |
| Hale Partnership Capital Management, LLC | Charlotte | $788.3 million | 7 | adviserinfo.sec.gov |
| SPP Management Services, LLC | Charlotte | $623.6 million | 29 | adviserinfo.sec.gov |
| Alpha Financial Advisors, LLC | Charlotte | $619.3 million | Not listed | adviserinfo.sec.gov |
| Hobart Wealth | Charlotte | $558.2 million | Not listed | adviserinfo.sec.gov |
| Defender Capital | Charlotte | $510 million | 1 | adviserinfo.sec.gov |
| Capitala Private Advisors, LLC | Charlotte | $505.1 million | 4 | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Charlotte, NC
- Investment advisers in North Carolina
- Advisers with $500 million to $1 billion in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- Auctus Advisors LLC on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.