SouthEast Investments, N.C., Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Southeast Investments, N.C. Inc provides portfolio management, financial planning, and adviser‑selection services to individuals, high‑net‑worth clients and pension/profit‑sharing plans, and offers both discretionary and non‑discretionary account management as well as arrangements with third‑party money managers. The firm’s Part 2A discloses that it reported $0 in assets under management as of 12/31/2018.
The firm’s investment work emphasizes asset allocation, mutual fund and ETF analysis, long‑term equity holdings and the selective use of option strategies (including covered calls and spreads), and it conducts due diligence on third‑party managers it recommends. Southeast Investments also documents periodic account reviews, uses aggregated block trading for executions when appropriate, and charges hourly fees for certain planning and review services.
What distinguishes the firm from many peers is its combination of adviser and intermediation roles: it is a registered broker‑dealer, an insurance broker/agent, engages in commissionable broker‑dealer activity, is affiliated with a broker‑dealer, and acts as a wrap‑fee program sponsor while also arranging for or selecting other advisers. The brochure discloses these multiple revenue sources and related conflicts of interest and describes policies and a Code of Ethics intended to address them, reflecting an operating model that blends investment management with brokerage and insurance activities.
Client services
Expertise
Fee options
$0 - $249,999.99: 2% $250,000 - $2,000,000: 1% $2,000,000+: Negotiable
Broker/dealer investment products sold on a commission basis; insurance products sold on commission basis.
$100-$500 per hour, negotiable
Account minimum: $100,000
Main office
820 Tyvola Road, Suite 104
Charlotte NC 28217
Advisors at this office
1
Most active in
South Carolina
Also doing business as
Southeast Investments N.A., Inc. · Southeast Investments, N.C., Inc.
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.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
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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.
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