Southern Capital Management Corporation
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Southern Capital Management serves individual clients, including retirement accounts, Roth IRAs, trusts, and private accounts, offering retirement income planning and wealth-management advice. The firm provides performance analysis and asset-allocation reports on a weekly, monthly, or quarterly basis by internet or mail upon client request.
The firm’s investment approach blends top‑down macroeconomic analysis with fundamental equity screening—reviewing roughly 100 industry groups and 1,000 companies on a quarterly cycle—and favors a “growth at a reasonable price” philosophy with individual securities intended to be held for a full market cycle. Technical analysis is used to time entry and exit points, asset-allocation models are reviewed quarterly, and advice is delivered via telephone and email following an extensive client interview.
Southern Capital is notable for operating strictly on a non‑discretionary basis and for not holding or transmitting client securities, leaving final trade decisions to clients—a practice that is uncommon among peers. The firm also issues regular written market commentary and printable/pdf reports with charts, executes trades in listed securities through Altruist Financial LLC, and does not engage in options, derivatives, futures, or insurance products.
Client services
Expertise
Fee options
$0 - $1,000,000: 1.00% annually $1,000,000 - $2,000,000: 0.80% annually $2,000,000 - $5,000,000: 0.60% annually $5,000,000 - $7,500,000: 0.50% annually $7,500,000 - $10,000,000: 0.40% annually $10,000,000+: Negotiable
Fee-only: Fees range from 0.75% to 1.50% annually depending on account size and services; billed quarterly in advance at 0.25% per quarter.
Main office
4 Carriage Lane, #407
Charleston SC 29407
Advisors at this office
2
Most active in
Alabama · North Carolina · South 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
Advisors at this firm
Michael P
Series 63, Series 65
Charleston, SC
Southern Capital Management Corporation
Michael Pate is a financial advisor at Southern Capital Management Corporation in Charleston, SC, with 12 years of industry experience. He holds Series 63 and Series 65 licenses and has been with Southern Capital Management since 1993. Southern Capital Management provides investment advice and portfolio management to retirement and private accounts, serving approximately 80 clients with $38 million in assets under management. The firm employs a non-discretionary investment approach combining macroeconomic analysis, value screening, and technical analysis, and offers regular market commentary and reporting to clients.
John R
Series 65
Charleston, SC
Southern Capital Management Corporation
John Rivers is a financial advisor at Southern Capital Management Corporation with one year of industry experience. He holds a Series 65 designation and has worked in various roles, including at Smart Renovations, City Lights Eastside, and the Historic Charleston Foundation. Outside of finance, he has been involved with small businesses such as Tidal Grounds Coffee and Lago Tacos. Southern Capital Management serves individual clients with retirement accounts, trusts, and private accounts, offering retirement income planning and wealth-management advice. The firm uses a growth-at-a-reasonable-price investment philosophy combined with top-down macroeconomic analysis and fundamental equity screening, operating on a strictly non-discretionary basis with client-directed trade decisions.
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