{ "crd_number": 316457, "slug": "cone-advisory-group-inc-ayden-nc-316457", "primary_business_name": "CONE ADVISORY GROUP, INC.", "legal_name": "CONE ADVISORY GROUP, INC.", "dbas": [], "city": "Ayden", "state": "NC", "country": "United States", "cbsa_code": "24780", "metro": { "cbsa_code": "24780", "common_name": "Greenville", "msa_name": "Greenville, NC", "path": "/advisors/nc/greenville" }, "registration_type": "state", "registration_status": "APPROVED", "registration_date": "2023-04-10", "years_registered": 3, "period": "2026-10-01", "filing_date": "2026-04-01", "carried_forward": false, "raum_total": 17325000.0, "raum_discretionary": 17002000.0, "raum_non_discretionary": 323000.0, "raum_band": "under_25m", "raum_band_label": "Under $25 million", "total_employees": 2, "advisory_employees": 2, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "individuals": { "raum": 10418000.0, "count": 192 }, "pension_profit_sharing": { "raum": 1366000.0, "count": null, "fewer_than_5": true }, "high_net_worth_individuals": { "raum": 5541000.0, "count": 16 } }, "compensation_types": [ "fixed", "hourly", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "other", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 3, "states_registered": [ "NC" ], "websites": [ "https://coneadvisorygroupinc.com", "https://linkedin.com/in/deancone" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/316457", "disclosure_items": [ { "item": "11.D(1)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?" }, { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "item": "11.D(4)", "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?" } ], "city_as_filed": "AYDEN", "url": "https://advisorcensus.com/firm/cone-advisory-group-inc-ayden-nc-316457", "display_name": "Cone Advisory Group, Inc.", "summary": "Cone Advisory Group, Inc. is a state-registered investment advisory firm in Ayden, NC, registered since 2023, reporting under $25 million in regulatory assets under management in its Form ADV filing dated April 1, 2026.", "citation": "AdvisorCensus. Cone Advisory Group, Inc. (CRD 316457): Form ADV filing data as of October 2026.", "registration_type_label": "State-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Selection of other advisers (including private fund managers)", "Other" ], "quick_answers": [ { "q": "How is Cone Advisory Group, Inc. compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Cone Advisory Group, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Cone Advisory Group, Inc. located?", "a": "Cone Advisory Group, Inc.'s principal office is in Ayden, NC, according to its Form ADV." }, { "q": "Is Cone Advisory Group, Inc. registered with the SEC or a state?", "a": "Cone Advisory Group, Inc. is a state-registered investment advisory firm, registered since 2023. Status as filed: APPROVED. CRD 316457." }, { "q": "How much does Cone Advisory Group, Inc. manage?", "a": "Cone Advisory Group, Inc. reports $17,325,000 in regulatory assets under management in its Form ADV filing dated April 1, 2026 (98% discretionary)." }, { "q": "What types of clients does Cone Advisory Group, Inc. serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (192); high net worth individuals (16)." }, { "q": "Does Cone Advisory Group, Inc. report any disciplinary disclosures?", "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.D(1) (another regulator's finding of a false statement or omission, or of dishonest, unfair, or unethical conduct), 11.D(2) (another regulator's finding of a violation), and 11.D(4) (another regulator's order in the past ten years). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/316457" } ], "filing_history": [], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/cone-advisory-group-inc-ayden-nc-316457.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 192, "fewer_than_5": false, "raum": 10418000.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 16, "fewer_than_5": false, "raum": 5541000.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": null, "fewer_than_5": true, "raum": 1366000.0 } ], "disclosure_line": "Reports 3 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/316457", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }