T
TierOne Capital, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$0
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
0
Very LowAverage account size
—
About
TierOne Capital provides financial planning, investment management, and tax preparation services to a broad set of clients, including individuals, pension and profit‑sharing plans, trusts and estates, corporations and other business entities, foundations and charitable organizations, and investment clubs. The firm offers comprehensive financial planning, targeted/modular planning, transaction planning, and ongoing portfolio management engagements.
The firm builds individualized investment programs by developing investment policy statements and aligning active fundamental analysis and passive/index strategies to client objectives, with consideration of tax implications when timing transactions. For some accounts it may recommend or retain unaffiliated registered investment advisers as sub‑advisers and monitors outside managers as part of its oversight process.
Noteworthy aspects include a principal with a Certified Public Accountant background and extensive corporate tax experience, and an integrated emphasis on tax planning and tax return preparation alongside investment advice. The firm also emphasizes client education through meetings and related conferences, offers multiple engagement formats (including hourly planning arrangements), and will collaborate with other advisers when appropriate.
Client services
Financial planning
Portfolio management
Educational seminars or workshops
Expertise
General retirement planning
Cash flow / budgeting
Wealth management
Private / alternative investments
Fee options
Financial planning fixed fee between $3,000 and $12,000 per plan
$0 - $100,000: 1.25% annually $100,001 - $500,000: 1.15% annually $500,001 - $5,000,000: 1.00% annually $5,000,001+: 0.70% annually
Up to $500 per hour for financial and transactional planning
Fee-only: Financial planning fixed fee between $3,000 and $12,000 per plan; hourly fees up to $500/hour for financial and transactional planning
Main office location
TierOne Capital, LLC
Charlotte NC, United States
Number of offices
1
Most active in
TierOne Capital, LLC has reported serving >5 clients in these states in the last 12 months.
North Carolina
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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.
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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.
-
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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