Leland, NC Office

Fiori Financial Group is an SEC-registered investment adviser with a four‑advisor team managing roughly $565 million for about 224 clients. The firm offers discretionary portfolio management (including a firm‑sponsored wrap fee program) and pension consulting services for individuals, high‑net‑worth clients, and retirement plans, and it requires a $2.5 million minimum to establish an advisory relationship (waivable at the firm’s discretion).

The firm describes a multi‑disciplinary investment process in its brochure, combining fundamental, technical and charting analysis and implementing strategies that range from long‑term holdings to short‑term trading, option writing (generally covered options), margin, and other derivatives. Fiori Financial Group also provides ongoing account supervision and rebalancing, manages held‑away retirement plan assets through an account aggregation service called Pontera, and discloses use of securities‑backed lines of credit (SBLOCs) as an option for clients.

Several operational and product features set the firm apart from many peers: it is the portfolio manager and sponsor of its own wrap fee program with custody and execution arranged through Goldman Sachs Custody Solutions and Charles Schwab, it discloses third‑party ratings in its materials, and it uses derivatives within separately managed accounts—each an attribute the brochure highlights and that is relatively uncommon among comparable team firms. The brochure also notes practical considerations such as the firm’s use of AI tools for certain workflows and the potential conflicts tied to affiliated broker‑dealer and insurance activities, which the firm discloses and addresses in its compliance policies.