Copperleaf Capital, LLC

CRD#117823
Investment Advisor Firm

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Learn more about Copperleaf Capital, LLC

  • Overview
  • By the Numbers
  • Products and Services
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations
  • Firm Advisors

    • Overview

    Copperleaf Capital, LLC is an advisory firm based in Raleigh, North Carolina. It manages $160.0 million in assets under management throughout 703 accounts, making it a mid-tier financial advisory firm in the country by assets under management (AUM). The company has a small team, including 4 financial advisors. Copperleaf Capital, LLC does not act as a registered broker-dealer, signifying that it is not able to buy and sell securities for its accounts and those of its clients and instead must go through a broker-dealer firm to do so. Securities are tradable fiscal assets like equities, bonds and options.

    Copperleaf Capital, LLC manages more than half of the company's accounts in a discretionary manner. Discretionary management signifies that buy and sell decisions for the client's account are made by a portfolio manager without needing client permission. It also has 145 non-discretionary accounts totaling $10.6 million in assets under management. The company administers about $227,565 for each client account. An average advisor at Copperleaf Capital, LLC manages around 176 client accounts.

    Copperleaf Capital, LLC's headquarters is at 5904 Six Forks Road, Raleigh, North Carolina 27609. It is legally registered to provide services to investors across a number of states, including California, Florida, Georgia, Kansas, North Carolina, South Carolina, Texas and Virginia.

    Assets Under Management

    $160.0 million

    Number of Advisors

    4

    Disclosures

    No

    Office Location

    5904 Six Forks Road
    Raleigh, NC 27609

    Copperleaf Capital, LLC by the Numbers

    Total Assets Under Management

    $160.0 million

    National Average: $8.6 billion
    Total Number of Employees

    7

    National Average: 64
    Total Number of Accounts

    703

    National Average: 375,227
    Average Account Size

    $227.6 thousand

    National Average: $23.0 thousand
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    Products and Services

    Copperleaf Capital, LLC provides multiple services, which can include financial planning services, portfolio management for individuals and small businesses, pension consulting services and selection of other advisers. In the prior financial year, Copperleaf Capital, LLC provided 51-100 of its clients with financial planning services. It is engaged in selling products or offering services aside from investment advisory services to its clients.

    Core Advisor Services

    • Offered by 31% of firms

      Financial Planning Services

      This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

    • Offered by 46% of firms

      Portfolio Management

      This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

    • Find a firm that offers this service

      Market Timing Services

      This is the practice of attempting to make short-term profits on investments by buying low and selling high.

    Other Services

    • Offered by 20% of firms

      Selection of Other Advisors

      This is the firm's assistance with choosing other advisors to work with who may have different specialties.

    • Find a firm that offers this service

      Publication of Periodicals

      This is the publication of various financial education materials.

    • Find a firm that offers this service

      Educational Seminars/Workshops

      This is the hosting of seminars or workshops to educate investors on financial concepts.

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    Fee Structure

    Financial management fees are based on the type of services offered. However, fees charged by the company likely consist of the following fee types: asset-based or fixed. Wrap fee programs, or the practice of bundling services for a single fee, are not provided by the company.

    Available

    • Offered by 69% of firms

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    • Offered by 32% of firms

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    Unavailable

    • Find one of the 21% of firms that offer this fee type

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Find one of the 1% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Find one of the 26% of firms that offer this fee type

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    • Find one of the 0% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

    • Find one of the 10% of firms that offer this fee type

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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    Types of Clients

    It works with retail investors, high net worth investors, corporations and other. Out of its 703 clients, Copperleaf Capital, LLC's largest client group is retail investors, although it also manages money for 65 high-net-worth individuals. A high-net-worth individual is defined by the SEC as an individual who has at least $750,000 in AUM or a net worth of more than $1.50 million or who counts as a "qualified purchaser" (a standard met by having at least $5 million in investments). None of its accounts are represented by people from outside of the U.S.

    • High-Net-Worth Individuals* - 31.25%
    • Other Individuals - 59.13%
    • Corporations - 9.62%
    • Charitable Organizations - 0%

    * The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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    Disclosures

    Copperleaf Capital, LLC does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Copperleaf Capital, LLC

    Peter Ross
    Raleigh, NC
    Julian Arribas
    Raleigh, NC
    Colton Strawn
    Raleigh, NC
    Ryan Peterson
    Raleigh, NC

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