Auctus Advisors LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$612,923,272
Clients
204
Advisors
2
of 3 employees
About
Auctus Advisors provides discretionary portfolio management, financial planning, and pension consulting to individuals, high‑net‑worth clients, retirement plans, charitable organizations, and business entities. The firm documents client objectives with individualized Investment Policy Statements and may allocate client assets to third‑party managers for ongoing management.
The firm describes a goals‑based investment process that begins with comprehensive planning and Monte Carlo simulations to establish target returns, then blends strategic and tactical asset allocation. Execution can include long‑ and short‑term trading, options strategies, and the use of margin or borrowing for cash needs or by certain third‑party managers, all of which the brochure identifies as carrying elevated risk.
Auctus Advisors reports $612,923,272 in discretionary assets under management while operating with a relatively small advisory staff, resulting in an unusually high level of AUM per advisor compared with peers. The brochure also discloses the firm’s practice of allocating to third‑party managers and was recently amended to add more detailed disclosures about the use of those managers, related fees, risks, and limitations.
Client services
Expertise
Occupation focus
Fee options
Financial planning and pension consulting fixed fees between $5,000 and $100,000, negotiable.
Not explicitly tiered; fees not to exceed 1.00% annually; fees generally negotiable
Commissions accepted from insurance products sold by representatives acting as independent licensed insurance agents, separate from advisory services.
Account minimum: $5,000,000
Main office
325 Arlington Avenue, Suite 625
Charlotte NC 28203
Advisors at this office
2
Most active in
California · Florida · Kansas · Minnesota · Nebraska · North Carolina · South Carolina · Texas
Also doing business as
Auctus Advisors LLC · Auctus Family Office · Auctus Private Client · M&L Wealth Advisors LLC
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
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.
Quick links
Advisors at this firm
Mallen B
Series 63, Series 65
Charlotte, NC
Auctus Advisors LLC
Mallen Bruggeman is a financial advisor at Auctus Advisors LLC in Charlotte, NC, with 11 years of industry experience. She holds Series 63 and Series 65 licenses and previously worked at M HOLDINGS SECURITIES, Inc. and MBL Advisors. In addition to her advisory role, she is a licensed insurance agent and occasionally offers insurance products to clients. Auctus Advisors provides discretionary portfolio management, financial planning, and pension consulting to individuals, high-net-worth clients, retirement plans, charitable organizations, and business entities. The firm uses a goals-based investment process incorporating comprehensive planning and Monte Carlo simulations, blending strategic and tactical asset allocation with potential use of advanced trading strategies and third-party managers.
David M
Series 63, Series 65
Charlotte, NC
Auctus Advisors LLC
David Miller is a financial advisor with Auctus Advisors LLC in Charlotte, NC, holding Series 63 and Series 65 credentials and 19 years of industry experience. Prior to joining Auctus Advisors in 2017, he worked at M Holdings Securities, MBL Advisors Inc., and Powell Wealth. He serves on the advisory board of Natixis and is chair of the investment committee on the board of trustees at Pfeiffer University. Auctus Advisors provides discretionary portfolio management, financial planning, and pension consulting to individuals, high-net-worth clients, retirement plans, charitable organizations, and business entities. The firm employs a goals-based investment process combining comprehensive planning and strategic and tactical asset allocation, often utilizing third-party managers for ongoing management.
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