Canopy Financial Solutions
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$9,130,156
Total clients
21
14% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
21
Average account size
$434,769
About
Canopy Financial Solutions provides discretionary portfolio management and fee-based financial planning to individuals (including high-net-worth clients), charitable organizations, and business entities. The firm reports managing about $9.13 million across roughly 21 client relationships and offers both one-time financial plans and ongoing monthly planning services.
The firm documents client goals and constraints in individualized Investment Policy Statements and employs a mix of cyclical, fundamental, modern portfolio theory and quantitative analysis to construct portfolios. Its stated strategies range from long-term investing to short-term trading and include higher-risk techniques such as options, margin trading, short sales, ETFs, commodities and private placements, all of which the brochure highlights as carrying material risks.
Several operational features distinguish the firm from many small independent advisors: it requires clients to use a specific introducing broker/custodian relationship (Altruist to Apex) and discloses that it does not aggregate trades across multiple client accounts, which can affect execution and pricing. The brochure also notes the principal’s outside consulting relationship with a law firm and the firm’s acceptance of soft-dollar benefits and institutional services, all of which are disclosed as potential sources of conflicts of interest.
Client services
Financial planning
Portfolio management
Expertise
Options & derivatives strategies
Active portfolio management
College savings (529s, UTMA, etc.)
Cash flow / budgeting
Fee options
Fixed fees for financial plans between $250 and $10,000; ongoing financial planning fees between $50 and $250 per month
1.00% annually
$125 to $250 per hour
Ongoing financial planning fees between $50 and $250 per month
Main office location
Canopy Financial Solutions
Sanford NC, United States
Number of offices
1
Most active in
Canopy Financial Solutions has reported serving >5 clients in these states in the last 12 months.
North Carolina
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Quick links
Not sure where to start?
We'll help you think it through – whether you ultimately need an advisor or not.
Warmer provides personalized recommendations and introductions to independent fiduciary advisors. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
Each advisor listed on our site is an independent fiduciary responsible for their own advice. Warmer may receive fees from advisors for participation or referrals; these fees are paid by advisors and do not affect the fees clients pay for advisory services.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Please review an advisor's Form ADV and do your own diligence before entering into an advisory relationship.
By using our service, you agree to Warmer's Terms of Service and Advisory Agreement and Privacy Policy. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. ("Warmer")