Pilot Investment Services, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Pilot Investment Services, LLC is a small, independent advisory firm that provides discretionary portfolio management and limited financial planning to individual and high-net-worth clients, as well as trusts and estates. The firm reports managing about $1.5 million on a discretionary basis across a small number of client accounts.
Pilot develops an individualized Financial Profile and Investment Plan with each client and implements those plans primarily through ETFs, individual equities, bonds, and the selective use of options and margin. The firm describes using a mix of fundamental, technical/charting and cyclical analysis to construct portfolios and charges asset‑based (percentage-of-AUM) advisory fees in line with common practice for solo advisers.
What distinguishes Pilot from many peers is its disclosed disciplinary history: the brochure details a client complaint that was settled in 2014 and a prior FINRA settlement related to options trading in 2008. The firm is operated and supervised by its sole principal, who is also employed as a revenue agent with the Department of the Treasury, and the adviser emphasizes execution and custody via an institutional Interactive Brokers platform while generally declining to vote client proxies.
Client services
Expertise
Fee options
Less than $500,000 - $499,999: 1.50% $500,000+: 1.00%
Account minimum: $25,000
Main office
Greensboro NC
Advisors at this office
1
Most active in
North Carolina
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.
Forms ADV
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