Financial Serenity, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$6,388,682
Total clients
76
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
76
Average account size
$84,062
About
Financial Serenity, LLC is a state‑registered independent investment adviser that primarily serves individual clients while also working with corporations and small businesses. The firm offers discretionary portfolio management, financial planning, periodic portfolio reviews, financial coaching, and occasional educational seminars, and typically charges percentage‑of‑AUM fees for portfolio management.
The firm constructs customized, discretionary portfolios using a range of asset‑allocation models from conservative short‑term to aggressive long‑term and relies on methods such as fundamental and technical analysis, charting, and modern portfolio theory to guide allocations and rebalancing. Financial Serenity also emphasizes behavior‑focused financial coaching and may manage assets held inside annuity products, requiring clients to grant the firm discretionary trading authority.
Notable operational details that distinguish the firm from many solo independent advisers include that some Investment Adviser Representatives are licensed insurance agents who may earn commission‑based compensation for insurance sales and that the firm provides free educational seminars and a family/employee access program with reduced fees. The brochure also documents the firm’s involvement with corporate clients and employer retirement plan considerations (including IRA rollover advice) and describes independent‑contractor arrangements with other advisers, indicating a broader set of client relationships and business arrangements than is typical for similarly sized peers.
Client services
Financial planning
Portfolio management
Educational seminars or workshops
Expertise
Annuities
Demographic focus
Christian Faith Based
Fee options
$0 - $1,000,000: 1.50% $1,000,001 - $3,000,000: 1.00% $3,000,000+: 0.50%
Some Investment Adviser Representatives are licensed insurance agents and may earn commissions on insurance products sold, in addition to advisory fees.
Financial coaching hourly rates are negotiable and determined at engagement; payable after service.
Financial coaching monthly or quarterly fees as negotiated, payable in arrears monthly or quarterly.
Minimum fee: Minimum monthly fee of $149 (or $1,490 annually) applies to accounts with less than $500,000 AUM for Signature Circle clients; base monthly fee of $49 (or $490 annually) for The Collective members. Fee-only: Financial planning fees: $1,490 - $10,000 annually for individuals/sole proprietors; $4,500 - $101,000 annually for corporations and small businesses; Financial coaching fees: $75 - $750 monthly for individuals, $495 - $10,000 monthly for businesses; Periodic portfolio review fee: $1,200 annually; Fixed fee for portfolio review quarterly installments of $300.
Most active in
Financial Serenity, LLC has reported serving >5 clients in these states in the last 12 months.
North Carolina · Texas
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:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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