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.
Providence Capital Advisors, LLC
Charlotte, NC
CRD 174631
Firm filing updated March 10, 2026 ·
- $1.1BAssets
- 7Advisory staff
- 2,745Accounts
Fees and minimums
- Hourly feesAsk the firm for the rate
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesYes
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- High net worth individuals254
- Individuals170
- Charities5
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 170 | $58.5 million |
| High net worth individuals | 254 | $998.5 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 clients | $6.8 million |
| Charitable organizations | 5 | $8.2 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
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
Assets and accounts
- Regulatory assets$1.1 billion
- Accounts2,745
- Discretionary$1.1 billion · 2,731 accounts
- Non-discretionary$13.7 million · 14 accounts
People
- Employees14
- Advisory staff7
- Broker-dealer reps0
- Licensed insurance agents3
- Planning clients0
Advisors
3 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 174631, SEC file 801-107683.
- Registered with the SEC as an investment advisor (status date on record: April 19, 2016).
Is Providence Capital Advisors, LLC a fiduciary?
Short answer: Providence Capital 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.'
3 staff are licensed insurance agents and the firm has a related insurance company or agency.
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.