Neale Financial, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$45,531,749
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
165
4% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
165
Very HighAverage account size
$275,950
About
Neale Financial, LLC provides discretionary investment management and financial planning to individuals, corporations, other business entities, and charitable organizations. The firm has provided advisory services since 2010 and reports approximately $46.6 million in assets under management across roughly 165 client relationships.
Investment strategies are tailored to each client’s stated objectives and risk tolerance and draw on fundamental and technical analysis, fund ranking by standard deviation and return, and a mix of long- and short-term purchases; portfolios are monitored and rebalanced on an ongoing basis under discretionary authority. Financial planning is offered on an hourly or fixed-fee basis, and the firm typically recommends using a qualified custodian for execution and custody of client assets.
The firm operates a licensed insurance agency and its advisory personnel are separately licensed to sell insurance products, earning commission-based compensation and devoting about 25% of firm time to insurance-related services; the brochure discloses this potential conflict and states insurance is recommended only when appropriate. Combining investment advisory and financial planning with ongoing insurance brokerage, while serving charitable organizations in addition to individuals and businesses, are characteristics the firm highlights that are less common among its independent-adviser peers.
Client services
Financial planning
Portfolio management
Fee options
Fixed fees up to $5,000 for modular or broad-based financial planning services
$0 - $2,000,000: 1.25% $2,000,001 - $5,000,000: 1.00% $5,000,001 - $10,000,000: 0.80% $10,000,001+: Negotiable
Commissions earned from insurance product sales by licensed insurance agents affiliated with the firm
$175 per hour for financial planning and consulting services
Fee-only: Hourly fee of $175 per hour; Fixed fee up to $5,000, payable 50% in advance and 50% upon completion
Main office location
Neale Financial, LLC
Mount Pleasant SC, United States
Number of offices
1
Most active in
Neale Financial, LLC has reported serving >5 clients in these states in the last 12 months.
Georgia · North Carolina · South 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 active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
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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