Pendleton Financial Wealth Management
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$86,551,393
This total excludes 15 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
128
41% high-net worth
Advisors
1
of 4 employees
Firm type
Supported
1-3 advisors or $200M+ in AUM
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
128
Very HighAverage account size
$676,183
About
Pendleton Financial provides discretionary investment management, comprehensive financial planning, and pension/ERISA consulting to individuals (including high‑net‑worth clients), retirement plans, charitable organizations, and corporate entities. The firm documents client objectives in written Investment Policy Statements, uses model portfolios and can allocate assets to third‑party managers or private funds as part of tailored wealth management engagements.
The firm’s investment process emphasizes long‑term, academically informed portfolio construction—relying on modern portfolio theory, asset allocation, fundamental security analysis, and Monte Carlo planning—to align portfolios with clients’ risk tolerances and time horizons. Pendleton typically manages accounts on a discretionary basis, conducts regular portfolio monitoring and rebalancing, and integrates financial planning into ongoing advisory relationships under an explicit fiduciary framework.
Distinctive for its peer group, Pendleton publishes a periodic newsletter and offers educational seminars, workshops and family‑meeting support to clients and prospective clients—services it provides at no additional cost and which are uncommon among similar firms. The firm also highlights pension consulting capabilities (including serving as an ERISA 3(21) or 3(38) investment manager), a multi‑decade predecessor practice background, and an emphasis on CFP‑based financial planning in its advisory approach.
Client services
Financial planning
Portfolio management
Pension consulting
Selection of other advisers
Newsletters or periodicals
Educational seminars or workshops
Expertise
General retirement planning
Retirement income strategy
Income planning
Wealth management
Occupation focus
Founder/Business Owner
Retired
Fee options
$1 - $500,000: 1.25% $500,001 - $1,000,000: 1.00% $1,000,001 - $3,000,000: 0.85% $3,000,001 - $5,000,000: 0.75% $5,000,001 - $15,000,000: 0.40% $15,000,001+: 0.20%
Minimum fee: Minimum $500 per month / $1,500 per quarter for pension consulting + travel expenses
Main office location
Pendleton Financial Wealth Management
2607 Oberlin Road, Suite 100
Raleigh NC 27608, United States
Number of offices
1
Most active in
Pendleton Financial Wealth Management 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 active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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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.
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