Hammerhead Financial Strategies, LLC

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Client assets under management

$3,797,107

Clients

100% high-net-worth

Advisors

of 2 employees

Firm type

Supported

1-4 advisors or >$200M in AUM

Clients per advisor

Very Low

Average account size

$379,711

About

Hammerhead Financial Strategies provides discretionary portfolio management, financial planning and ad hoc consulting for a small, primarily high‑net‑worth client base. The firm reports roughly $3.8 million in discretionary AUM across ten client accounts and offers both ongoing management and standalone planning engagements.

The firm’s investment approach is active and opportunistic, relying on proprietary trading methodologies and a mix of strategies (Technical Momentum and Asset Allocation) that draw on fundamental, technical and behavioral analysis, including social‑media driven trading signals. Holdings tend to be higher‑beta equities (often small‑cap), traded across short and long time frames, with cash reserves and diversification used as primary risk controls and occasional use of inverse or leveraged ETFs for hedging.

Distinctive features disclosed in the brochure include a formal performance‑based fee program (a negotiable base fee plus 20% of annual trading profits above a high‑water mark, with regulatory eligibility thresholds) and explicit acknowledgment of leverage and borrowing considerations (discussion of leveraged/inverse ETFs and custodial margin interest). The firm also discloses an affiliated subscription market‑commentary business and outside publishing activity by a principal that can occupy a substantial portion of his time, and the firm’s filings indicate it serves a material non‑U.S. client segment.

Client services

Financial planning Portfolio management

Expertise

Active portfolio management Concentrated stock management

Fee options

Fixed

Up to $5,000 fixed fee for initial financial planning engagement

Percentage

$0 - $500,000: 2.00% $500,001 - $1,000,000: 1.75% Over $1,000,000+: 1.50% $0 - $1,000,000: 1.00% Over $1,000,000+: 0.80%

Project-based

Up to $300 per hour for financial planning and consulting services

Performance-based

Base management fee up to 2.00% annually plus 20% of annual trading profits above high watermark

Other

Account minimum: $50,000

Main office location

Hammerhead Financial Strategies, LLC

Conover NC, United States

Number of offices

Most active in

Florida · North Carolina

Disclosures

Business activities & affiliations

Is not active or affiliated with:

Insurance agent

They sell insurance products and may earn commissions on those sales.

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.

Fund sponsor

They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.

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

Form ADV Part 2: Client Brochure

Quick links

Website 828-570-5659

Advisors at this firm

James K

CFP®, Series 63

Lutz, FL

Hammerhead Financial Strategies, LLC

James Koford is a CFP®-designated financial advisor at Hammerhead Financial Strategies, LLC with four years of industry experience. Prior to joining Hammerhead, he worked at Kitces.com and LPL, and he has operated Shark Investing, Inc., a subscription-based market commentary website, for over 20 years. At Shark Investing, he provides market commentary and content as well as marketing and sales support. Hammerhead Financial Strategies is a discretionary registered investment adviser serving primarily high-net-worth individuals and family offices. The firm employs an active, opportunistic investment approach driven by proprietary trading methodologies, focusing on higher-volatility equities, ETFs, and tactical asset allocation with discretionary portfolio oversight.

Active portfolio management Concentrated stock management

James D

Series 63, Series 65

Conover, NC

Hammerhead Financial Strategies, LLC

James Deporre is a financial advisor at Hammerhead Financial Strategies, LLC with 20 years of industry experience. He holds Series 63 and Series 65 licenses and has worked at Hammerhead since 2021. He is also president of Shark Investing, Inc., which operates a subscription-based website offering daily stock market articles and related content. Hammerhead Financial Strategies is a discretionary registered investment adviser serving primarily high-net-worth individuals and family offices. The firm employs an active, opportunistic investment approach using proprietary trading methodologies focused on higher-volatility equities, ETFs, and tactical asset allocation.

Active portfolio management Concentrated stock management

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