Align Financial Planning
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$2,760,200
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
14
7% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
14
TypicalAverage account size
$197,157
About
Align Financial Planning is a fee-only independent advisory firm that works with individuals (including high-net-worth clients), charitable organizations, corporations, and employer retirement plans. The firm provides investment management, both ongoing and project-based financial planning, and retirement plan consulting and management.
The firm develops individualized investment policies and asset-allocation targets for clients, using a mix of passive and active strategies and techniques described in its brochure (including fundamental, technical, and Modern Portfolio Theory approaches), and typically manages discretionary accounts on behalf of clients. Align also offers socially conscious investing options on request and conducts educational seminars and speaking engagements that are explicitly framed as general, non-individualized education.
Notable features for a firm of this size include the provision of educational seminars and speaking engagements (a relatively uncommon service among independent advisers), the availability of optional tax-preparation services through a third-party provider (Uprise/Ontrail), and the capability to serve as a retirement plan investment manager under ERISA for plan sponsors. The firm’s principal has a disclosed outside business operating a bed-and-breakfast that the brochure says occupies roughly a quarter of their time.
Client services
Financial planning
Portfolio management
Educational seminars or workshops
Expertise
Wealth management
College savings (529s, UTMA, etc.)
Business ownership considerations
Tax strategies for small businesses
Occupation focus
Founder/Business Owner
Fee options
Project-based financial planning fixed fees range from $750 to $12,000.
$0 - $1,000,000: 1.00% $1,000,001 - $2,000,000: 0.80% $2,000,001 - $5,000,000: 0.70% $5,000,001+: 0.50%
$350 per hour for project-based financial planning.
Fee-only: Financial planning fees: $2,000 upfront onboarding fee plus $2,000 per quarter ongoing fee ($8,000 annually). Project-based planning fees: fixed fees $750–$12,000; hourly rate $350/hour.
Main office location
Align Financial Planning
175 E New Hampshire Ave
Southern Pines NC 28387, United States
Number of offices
2
Most active in
Align Financial Planning 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:
-
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.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
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.
-
Lawyer
They provide legal services, typically billed separately.
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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
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