U
Unger Financial
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$16,830,000
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Total clients
66
23% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
66
Average account size
$255,000
About
Unger Financial provides investment advisory and financial planning services primarily to individual and high‑net‑worth clients, and also serves corporate or business clients. Services include discretionary and non‑discretionary portfolio management, written investment strategies, managed account programs, and financial planning consulting.
The firm’s investment process is centered on asset allocation and suitability-based portfolios, using approaches such as long‑ and short‑term purchases, technical analysis, and dollar‑cost averaging while considering clients’ time horizon and risk tolerance. It also integrates alternative investments into client oversight and has added venture capital/private equity as a strategy, with private offerings limited to suitable, accredited investors and accompanied by specific risk disclosures.
Noteworthy aspects relative to peers include the firm’s launch of affiliated venture capital activities and ownership of the general partner (SFV Manager, LLC) for deal‑specific limited partnerships (for example, Solid Financial Ventures – Amplifica, LP) targeting early‑stage medtech and animal‑health opportunities, a structure the brochure identifies as creating material conflicts of interest that the firm discloses and manages. The brochure also discloses that the firm’s owner is a licensed insurance agent who may offer commissionable insurance products, and notes the advisor manages roughly $16.83 million for about 66 clients, indicating a relatively small AUM scale alongside these atypical venture and insurance activities.
Client services
Financial planning
Portfolio management
Expertise
Private / alternative investments
Fee options
Financial planning fixed fees from $500 to $2,000 per project
up to 2.00% annually, negotiable and may be higher for complex/alternative assets
Commission-based insurance products offered by owner; commission may be earned on insurance sales
Fee-only: Fixed fees for financial planning services range from $500 to $2,000 per project
Main office location
Unger Financial
Raleigh NC, United States
Number of offices
2
Most active in
Unger Financial has reported serving >5 clients in these states in the last 12 months.
North 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.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Not sure where to start?
We'll help you think it through – whether you ultimately need an advisor or not.
Warmer provides personalized recommendations and introductions to independent fiduciary advisors. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
Each advisor listed on our site is an independent fiduciary responsible for their own advice. Warmer may receive fees from advisors for participation or referrals; these fees are paid by advisors and do not affect the fees clients pay for advisory services.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Please review an advisor's Form ADV and do your own diligence before entering into an advisory relationship.
By using our service, you agree to Warmer's Terms of Service and Advisory Agreement and Privacy Policy. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. ("Warmer")