One Providence Capital, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
One Providence Capital primarily serves individual investors and also works with churches, non-profits, corporations, and other business entities, managing roughly $23 million in client assets. As with many supported firms, it charges percentage-of-assets-under-management fees and provides ongoing discretionary portfolio management for individuals.
The firm emphasizes a long-term, strategic, risk-based asset-allocation approach and documents client objectives with investment policy statements and risk-tolerance profiles to construct diversified portfolios using stocks, bonds, ETFs, closed-end funds, and mutual funds. It provides quarterly monitoring and rebalancing and discloses that it does not engage in active trading, options, digital assets, interval funds, or the use of margin.
Noteworthy for its size category, the firm has formal affiliations with both banking and insurance businesses: the firm’s principal serves on the board of a regional bank and on the trustees of a mutual fund trust, and is also involved in an affiliated insurance agency that offers fixed insurance products for which supervised persons may receive commissions. The brochure outlines conflict-management measures—such as prohibitions on recommending the affiliated bank’s stock or the affiliated trust’s funds for client accounts, pre-approval and monitoring of insurance sales, and other written policies—and indicates the client base is principally non-high-net-worth individuals rather than affluent clients.
Client services
Expertise
Fee options
$0 - $250,000: 2.50% $250,001 - $500,000: 2.00% $500,001 - $1,000,000: 1.50% $1,000,001+: 1.25% (Negotiable)
$250.00 per hour, pro-rated in 15-minute intervals ($62.50 per 15 minutes)
Account minimum: $10,000 Minimum fee: One-time non-refundable account set-up fee of $0 to $100 Fee-only: Investment supervisory fees based on percentage of assets under management as per tiered schedule; hourly fee of $250.00 for investment advice through consultations (pro-rated in 15-minute intervals at $62.50 per 15 minutes)
Main office
Apex NC
Advisors at this office
1
Most active in
Maryland · North Carolina · Virginia
Also doing business as
One Providence Capital · One Providence Capital, 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 active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Bank
They're affiliated with a bank that may offer its own financial products and services.
Is not active or affiliated with:
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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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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.
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