Thomas
Rogers

Arlen Capital, LLC

CRD#2639101
Investment Advisor
in Charlotte, NC
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About this Advisor

Thomas Rogers is a certified financial planner who is based out of Charlotte, North Carolina. Currently a registered investment advisor with Arlen Capital, LLC, Rogers has an impressive 29 years of professional experience in the financial advisory industry. Rogers has Series 63 and Series 65 licenses, qualifying them as both a securities agent and an investment advisor representative. Rogers can act as an advisor in North Carolina and Texas. Their career trajectory has included roles at Thomas S Rogers And Assoc Inc, Charlotte Swim & Raquet Club, Royal Alliance and Arlen Capital, LLC. Arlen Capital, LLC is based out of Charlotte, North Carolina. In aggregate, Arlen Capital, LLC manages $202 million in assets across 542 client accounts and retains six staff members. The amount of assets the firm manages places it among the mid-sized financial advisory firms in the United States. All of the firm's accounts are managed on a discretionary basis, meaning the advisor makes all of the buying and selling decisions on the client's behalf. Currently 13% of the advisory firm's clients are high-net-worth individuals, meaning they have more than $1 million in assets. Arlen Capital, LLC offers financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients and selection of other advisers. The firm's fees may include asset-based and fixed fees.

Certifications and Registrations

Series 63, Series 65, Certified Financial Planner

Years of Experience

29 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Selection of other advisers

Fee Structure

Percentage of Assets, Fixed Fees

Disclosures

No

Office Location

2700 Coltsgate Road Suite 201
Charlotte, NC 28211

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Arlen Capital, LLC Brokerage Details

Total Assets Under Management

$210,218,584

NC Average: $2,813,243,532
Total Number of Employees

5

NC Average: 18
Total Number of Accounts

569

NC Average: 609
Average Account Size

$369,453

NC Average: $4,619,448

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Selection of other advisers

Thomas Rogers Work History

Thomas has 29 years of experience.

2006 - Present (13 years)

Royal Alliance

2006 - Present (13 years)

Arlen Capital, LLC

2005 - Present (14 years)

Charlotte Swim & Raquet Club

1989 - Present (30 years)

Thomas S Rogers And Assoc Inc

Disclosures

Thomas Rogers has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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