Data / Investment advisers / North Carolina / Providence Capital Advisors, LLC
Providence Capital Advisors, LLC, Charlotte, NC: $1.1 billion AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Providence Capital Advisors, LLC is an SEC registered investment adviser with its main office in Charlotte, North Carolina and reports $1.1 billion in regulatory assets under management in its Form ADV filed March 10, 2026. Its clients include high net worth individuals, individuals and charitable organizations. It is paid through a percentage of assets under management and hourly charges.
The request: Watch Providence Capital Advisors, LLC (CRD number 174631): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
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- Registration
- SEC registered investment adviser
- CRD number
- 174631
- SEC file number
- 801-107683
- SEC status
- Approved, effective April 19, 2016
- Main office
- 4500 Cameron Valley Parkway Suite 270, Charlotte, NC 28211
- Phone
- (704) 215-4420
- Website
- providencecapitaladvisors.com
- Regulatory AUM
- $1,072,053,984 in the Form ADV filed March 10, 2026
- Discretionary AUM
- $1,058,311,466
- Non discretionary AUM
- $13,742,518
- Accounts
- 2,745
- Employees
- 14, of which 7 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, hourly charges
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- March 10, 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 | 254 | $998.5 million |
| Individuals (other than high net worth individuals) | 170 | $58.5 million |
| Charitable organizations | 5 | $8.2 million |
| Pension and profit sharing plans | Fewer than 5 | $6.8 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 | $1.07 billion | March 10, 2026 |
| December 1, 2025 | $916.3 million | May 14, 2025 |
Other advisers in Charlotte
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Blueprint Financial Advisors | Charlotte | $1.41 billion | Not listed | adviserinfo.sec.gov |
| Corrum Capital Management LLC | Charlotte | $1.39 billion | 15 | adviserinfo.sec.gov |
| Topsail Wealth Management LLC | Charlotte | $1.31 billion | Not listed | adviserinfo.sec.gov |
| Laurel Wealth Advisors, LLC | Charlotte | $1.11 billion | Not listed | adviserinfo.sec.gov |
| Kian Capital Partners, LLC | Charlotte | $1.10 billion | 7 | adviserinfo.sec.gov |
| Verum Partners LLC | Charlotte | $1.01 billion | Not listed | adviserinfo.sec.gov |
| First Tryon Advisors | Charlotte | $1.01 billion | Not listed | adviserinfo.sec.gov |
| Fca Partners, LLC | Charlotte | $910.3 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Charlotte, NC
- Investment advisers in North Carolina
- Advisers with $1 billion to $10 billion in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- Providence Capital 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.