Data / Investment advisers / North Carolina / Pendleton Financial Wealth Management
Pendleton Financial Wealth Management, Raleigh, NC: $160 million AUM, SEC registered investment adviser
Pendleton Financial Wealth Management is an SEC registered investment adviser with its main office in Raleigh, North Carolina and reports $160 million in regulatory assets under management in its Form ADV filed March 31, 2026. Its clients include pension and profit sharing plans, high net worth individuals and individuals. It is paid through a percentage of assets under management and fixed fees.
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- Registration
- SEC registered investment adviser
- CRD number
- 325303
- SEC file number
- 801-127988
- SEC status
- Approved, effective May 15, 2023
- Legal name
- Pendleton Financial, LLC
- Main office
- 2607 Oberlin Road Suite 100, Raleigh, NC 27608
- Phone
- (919) 781-4167
- Website
- pendletonfinancial.com
- Regulatory AUM
- $160,032,334 in the Form ADV filed March 31, 2026
- Discretionary AUM
- $160,032,334
- Accounts
- 365
- Employees
- 4, of which 1 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, fixed fees
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- March 31, 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 |
|---|---|---|
| Pension and profit sharing plans | 13 | $69.9 million |
| High net worth individuals | 52 | $67.5 million |
| Individuals (other than high net worth individuals) | 76 | $19.1 million |
| Corporations or other businesses | 2 | $3.6 million |
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 |
|---|---|---|
| April 1, 2026 | $160 million | March 31, 2026 |
| December 1, 2025 | $141.9 million | March 31, 2025 |
Other advisers in Raleigh
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Ridgeline Wealth Advisors, LLC. | Raleigh | $189 million | Not listed | adviserinfo.sec.gov |
| Broad Reach Capital LLC | Raleigh | $180.5 million | Not listed | adviserinfo.sec.gov |
| Hollingsworth Avent Averre & Purvis, Pa | Raleigh | $177.4 million | Not listed | adviserinfo.sec.gov |
| ARK Royal Wealth Management LLC | Raleigh | $169.3 million | Not listed | adviserinfo.sec.gov |
| The Wealth Group, LTD | Raleigh | $160.2 million | Not listed | adviserinfo.sec.gov |
| Aim Advisors, LLC | Raleigh | $158.2 million | Not listed | adviserinfo.sec.gov |
| Sound Financial Management, Inc. | Raleigh | $134.1 million | Not listed | adviserinfo.sec.gov |
| Tolley Financial Group, LLC | Raleigh | $121.9 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Raleigh, NC
- Investment advisers in North Carolina
- Advisers with $100 million to $500 million in AUM
- Advisers serving pension and profit sharing plans
- Advisers serving high net worth individuals
- Pendleton Financial Wealth Management on the SEC's adviser search
Updated November 7, 2026. Read from the SEC's Form ADV data files for investment advisers. 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.