University Financial Strategies, LLC.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$15,198,131
Clients
24
25% 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
24
TypicalAverage account size
$633,255
About
University Financial Strategies, LLC works with individual and high‑net‑worth clients to provide tailored investment management and comprehensive financial planning services, including cash‑flow, tax, retirement, and estate planning. The firm also offers retirement‑plan consulting for employer plan sponsors and provides held‑away account services for workplace retirement accounts.
UFS primarily implements passive, asset‑allocation portfolios built with index funds and separately managed account sleeves, while offering alternatives such as direct indexing and access to third‑party model portfolios. For held‑away accounts the firm uses an account‑aggregation tool (Pontera) to monitor and, where the client enables access, make allocation changes, and it maintains that it does not take custody of client assets.
Noteworthy for a solo independent adviser, UFS offers educational seminars and speaking engagements in addition to one‑on‑one planning, and the brochure discloses insurance review services and staff experience as an insurance representative as part of its planning capabilities. The firm also integrates third‑party estate‑planning technology and platform relationships (including participation in a model marketplace), a mix of services that is less common among similarly sized independent advisers.
Client services
Financial planning
Portfolio management
Pension consulting
Educational seminars or workshops
Expertise
Cash flow / budgeting
Debt management
Retirement income strategy
Tax-loss harvesting
Business sale tax planning
Occupation focus
Founder/Business Owner
Retired
Executive
Demographic focus
Mid-Career Professionals
Fee options
Estate Planning up to $3,000 fixed fee; Financial Planning project-based fixed fees $250 to $5,000; Educational Seminars $0 to $1,000 per seminar or $0 to $250 per participant
$0 - $250,000: 1.50% $250,001 - $500,000: 1.25% $500,001 - $1,000,000: 1.00% $1,000,001 - $5,000,000: 0.90% $5,000,001+: 0.65%
Financial Planning hourly rate $300; Estate Planning hourly rate $300
Ongoing Financial Planning annual fee $1,200 to $7,500 paid upfront, monthly or quarterly
Fee-only: Financial Planning: Coaching $200/session, Additional sessions $250/session; Project-Based: Fixed fee $250-$5,000 or $300/hour; Ongoing Planning: Upfront fee up to $1,500, then $1,200-$7,500 annually
Main office location
University Financial Strategies, LLC.
4801 Glenwood Avenue, Suite 200 630
Raleigh NC 27612, United States
Number of offices
1
Most active in
University Financial Strategies, LLC. 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 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
Quick links
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