P
Pembroke Wealth Management, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$7,317,234
Total clients
25
8% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
25
Average account size
$292,689
About
Pembroke Wealth Management, LLC is a small independent registered investment adviser that serves individuals (including high‑net‑worth clients), charitable organizations, and business entities, managing about $6.34 million across roughly 23 client accounts. The firm provides non‑discretionary portfolio management and wealth management consulting, and offers tailored written financial plans to portfolio clients who request them.
The adviser operates primarily on a non‑discretionary basis, making investment recommendations and obtaining client approval before executing transactions while monitoring accounts and recommending rebalancing or reallocations as conditions or client circumstances change. Its investment process uses a mix of approaches — including fundamental and technical analysis, modern portfolio theory, and both long‑ and short‑term strategies — across equities, fixed income, mutual funds, ETFs and other common instruments.
Managing virtually all assets on a non‑discretionary basis is uncommon among independent advisers, and the firm also routinely requires clients to use TD Ameritrade Institutional for custody and brokerage, participating in that custodian’s institutional program. The principal maintains limited outside business activities, and the firm does not accept discretionary authority, vote client proxies, or participate in wrap or performance‑based fee programs.
Client services
Portfolio management
Financial consulting (single subject)
Expertise
Wealth management
Cash flow / budgeting
Fee options
Fixed fees for wealth management consulting services ranging from $300 to $2,000 per engagement, negotiable
$0 - $100,000: 1.25% $100,001 - $500,000: 1.00% $500,001 - $1,000,000: 0.75% $1,000,001+: 0.50%
Hourly rate of $150 per hour for consulting and business consulting outside of advisory services
Account minimum: $300 minimum annual advisory fee Minimum fee: Minimum annual advisory fee of $300 to open and maintain a portfolio management services account; may be waived at discretion Fee-only: Fixed fees for wealth management consulting services ranging from $300 to $2,000 per engagement, negotiable
Main office location
Pembroke Wealth Management, LLC
7890 Market St
Wilmington NC 28411, United States
Number of offices
1
Most active in
Pembroke Wealth Management, LLC 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:
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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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