S
Sparrows Financial
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$257,632
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
11
18% 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
11
LowAverage account size
$23,421
About
Sparrows Financial is an independent, single‑advisor registered investment adviser that offers discretionary portfolio management and investment planning to individuals, high‑net‑worth individuals, and business entities. The firm prepares a written Investment Policy Statement for each client and provides ongoing monitoring and portfolio rebalancing.
The firm’s investment approach emphasizes fundamental analysis, intermediate‑term trading, and quarterly rebalancing, generally using mutual funds, equities, fixed income securities, and ETFs. Sparrows requires discretionary trading authority, documents client risk tolerances in each IPS, and provides an annual model portfolio to other RIAs that is fixed for the year.
Sparrows operates with a small client base (11 clients and about $3.66 million in AUM) and explicitly includes high‑net‑worth individuals and business entities in its client types, a mix that can differ from peers that serve larger numbers of non‑HNW retail clients. The firm also requires clients to use a specific custodian (Altruist) and makes its model portfolio available to other advisers, both features that are less common among independent solo practitioners.
Client services
Portfolio management
Expertise
Active portfolio management
Fee options
1.00% annually
Main office location
Sparrows Financial
Apex NC, United States
Number of offices
1
Most active in
Sparrows Financial 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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