SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Auctus Advisors LLC
Charlotte, NC
CRD 289489
Firm filing updated August 14, 2026 ·
- $612.9MAssets
- 218Clients
- 2Advisory staff
- 731Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Fixed feesYes
- OtherYes
- Hourly chargesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
Who the firm serves
- High net worth individuals129
- Individuals75
- Pension and profit sharing plans14
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 75 | $32.7 million |
| High net worth individuals | 129 | $580.2 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 14 | $0 |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
See all 5 services
- Pension consulting services
- Selection of other advisors (including private fund managers)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisors (including private fund managers)
Assets and accounts
- Regulatory assets$612.9 million
- Accounts731
- DiscretionaryAll accounts
People
- Employees3
- Advisory staff2
- Broker-dealer reps0
- Licensed insurance agents2
- Planning clients0
Advisors
1 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 289489, SEC file 801-111919.
- Registered with the SEC as an investment advisor (status date on record: October 25, 2017).
Is Auctus Advisors LLC a fiduciary?
Short answer: Auctus Advisors LLC is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
2 staff are licensed insurance agents.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.