Unger Financial
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$16,610,000
Clients
66
Advisors
1
of 1 employees
About
Unger Financial provides investment advisory and financial planning services primarily to individual and high‑net‑worth clients, and also serves corporate or business clients. Services include discretionary and non‑discretionary portfolio management, written investment strategies, managed account programs, and financial planning consulting.
The firm’s investment process is centered on asset allocation and suitability-based portfolios, using approaches such as long‑ and short‑term purchases, technical analysis, and dollar‑cost averaging while considering clients’ time horizon and risk tolerance. It also integrates alternative investments into client oversight and has added venture capital/private equity as a strategy, with private offerings limited to suitable, accredited investors and accompanied by specific risk disclosures.
Noteworthy aspects relative to peers include the firm’s launch of affiliated venture capital activities and ownership of the general partner (SFV Manager, LLC) for deal‑specific limited partnerships (for example, Solid Financial Ventures – Amplifica, LP) targeting early‑stage medtech and animal‑health opportunities, a structure the brochure identifies as creating material conflicts of interest that the firm discloses and manages. The brochure also discloses that the firm’s owner is a licensed insurance agent who may offer commissionable insurance products, and notes the advisor manages roughly $16.83 million for about 66 clients, indicating a relatively small AUM scale alongside these atypical venture and insurance activities.
Client services
Expertise
Fee options
Financial planning fixed fees from $500 to $2,000 per project
up to 2.00% annually, negotiable and may be higher for complex/alternative assets
Commission-based insurance products offered by owner; commission may be earned on insurance sales
Fee-only: Fixed fees for financial planning services range from $500 to $2,000 per project
Main office
Raleigh NC, United States
Offices (1)
Most active in
North Carolina · Texas
Also doing business as
Solid Financial LLC · Unger Financial
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.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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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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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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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