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.
Milestone Investments, Inc.
Charlotte, NC
CRD 47090
Firm filing updated February 4, 2026 ·
- $277.3MAssets
- 91Clients
- 2Advisory staff
- 138Accounts
Fees and minimums
- Hourly feesAsk the firm for the rate
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesYes
- CommissionsYes
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals46
- High net worth individuals23
- Pension and profit sharing plans22
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 46 | $12.4 million |
| High net worth individuals | 23 | $32.4 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 22 | $232.5 million |
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
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
Assets and accounts
- Regulatory assets$277.3 million
- Accounts138
People
- Employees2
- Advisory staff2
- Broker-dealer reps2
- Licensed insurance agents2
Registration details
- SEC-registered investment advisor. CRD 47090, SEC file 801-123585.
- Registered with the SEC as an investment advisor (status date on record: April 4, 2022).
Is Milestone Investments, Inc. a fiduciary?
Short answer: Milestone Investments, Inc. is registered with the SEC as an investment advisor. 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.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 2 staff are broker-dealer representatives and the firm is itself a broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
2 staff are licensed insurance agents and the firm is itself an insurance broker or agent.
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.