Rooted Planning LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$10,310,254
Total clients
27
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
27
Average account size
$381,861
About
The firm is a state‑registered independent investment adviser that primarily serves individual clients and high‑net‑worth individuals through discretionary portfolio management and fee‑based financial planning; it also accepts charitable organizations, corporations, trusts and estates. Clients may receive ongoing investment management as well as written or ad‑hoc financial planning and consulting engagements.
The firm acts as a fiduciary and constructs customized, primarily long‑term portfolios using low‑cost mutual funds and ETFs while retaining or using individual stocks, bonds, variable annuities or options when appropriate to meet client objectives. Its investment process emphasizes fundamental analysis supplemented by technical and cyclical methods, with continuous monitoring, rebalancing and the ability to trade on a discretionary basis.
Noteworthy characteristics include an affiliation with an insurance and tax/accounting business that may offer commission‑based insurance products and separate tax/accounting services, a relationship the brochure discloses as a potential conflict of interest. The firm also works with charitable and corporate clients—client types that are less common for solo independent advisers—while managing roughly $10.3 million in discretionary assets for a small client base.
Client services
Financial planning
Portfolio management
Expertise
Active portfolio management
Tax-loss harvesting
Fee options
$0 - $99,999: 1.50% $100,000 - $499,999: 1.25% $500,000 - $999,999: 1.00% $1,000,000 - $1,999,999: 0.90% $2,000,000 - $4,999,999: 0.80% $5,000,000+: 0.70%
Fee-only: Fixed engagement fee up to $5,000 for financial planning services, fees may be negotiable
Main office location
Rooted Planning LLC
Mooresville NC, United States
Number of offices
1
Most active in
Rooted Planning LLC has reported serving >5 clients in these states in the last 12 months.
North Carolina · South 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.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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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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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