Whitley Financial, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Whitley Financial provides discretionary investment management and financial planning to individuals, high net worth individuals, trusts, estates, and small businesses. The firm reports managing approximately $5.9 million in client assets across roughly 29 client relationships.
Portfolios are constructed using ETFs, mutual funds, individual stocks and bonds and the firm employs both fundamental and technical analysis with a primarily long-term orientation while permitting shorter-term trades as needed. Financial planning and consulting are offered on hourly or fixed-fee terms, and the firm states its fiduciary commitment to clients.
The principal maintains an active insurance license and may receive commission-based compensation for insurance products; the brochure discloses these commissions are separate from advisory fees and that the insurance activity occupies under 10% of the principal’s time, creating a potential conflict of interest. The firm also participates in an institutional platform relationship with a national custodian that provides software and economic benefits, a relationship the firm discloses may influence custodian recommendations.
Client services
Expertise
Fee options
Fixed fees based on expected hours to complete financial planning engagement; negotiable
$0+: 0.50% annually +: up to 1.50% annually
Up to $250 per hour
Main office
Harrisburg NC
Advisors at this office
1
Most active in
North Carolina · Texas
Also doing business as
Whitley Financial LLC · Whitley Financial, LLC
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.
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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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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