Copperleaf Capital, LLC

CRD#117823
Investment Advisor Firm

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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.

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    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.

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    Publication of Periodicals

    This is the publication of various financial education materials.

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    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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The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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