# Hicks & Associates Wealth Management, LLC

> Hicks & Associates Wealth Management, LLC is an SEC-registered investment advisory firm in Cary, NC, registered since 2022, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated February 25, 2026.

- CRD: 323171
- Filed as: HICKS & ASSOCIATES WEALTH MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Cary, NC
- Filing period: October 2026
- Form ADV filing dated: February 25, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/323171
- AdvisorCensus page: https://advisorcensus.com/firm/hicks-and-associates-wealth-management-llc-cary-nc-323171

## Quick answers

**How is Hicks & Associates Wealth Management, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Hicks & Associates Wealth Management, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**How much does Hicks & Associates Wealth Management, LLC charge?**
Its Form ADV Part 2A brochure dated February 25, 2026 states: Asset-based fee: 0.3% to 2% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Hicks & Associates Wealth Management, LLC located?**
Hicks & Associates Wealth Management, LLC's principal office is in Cary, NC, according to its Form ADV.

**Is Hicks & Associates Wealth Management, LLC registered with the SEC or a state?**
Hicks & Associates Wealth Management, LLC is an SEC-registered investment advisory firm, registered since 2022. Status as filed: Approved. CRD 323171.

**How much does Hicks & Associates Wealth Management, LLC manage?**
Hicks & Associates Wealth Management, LLC reports $119,572,858 in regulatory assets under management in its Form ADV filing dated February 25, 2026 (100% discretionary).

**How have Hicks & Associates Wealth Management, LLC's assets and staff changed since 2023?**
In the Form ADV data for Hicks & Associates Wealth Management, LLC: Regulatory assets under management: $102,208,076 in the October 2023 data and $119,572,858 in the October 2026 data, up 17%. Total employees: 6 in October 2023 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Hicks & Associates Wealth Management, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (125); high net worth individuals (37).

**Which custodians does Hicks & Associates Wealth Management, LLC use?**
Hicks & Associates Wealth Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Hicks & Associates Wealth Management, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/323171

**Does Hicks & Associates Wealth Management, LLC state an account minimum?**
Its Form ADV Part 2A brochure dated February 25, 2026 says: "Hicks & Associates does not require a minimum account size."

**What changed in Hicks & Associates Wealth Management, LLC's recent Form ADV filings?**
In the March 2026 filing data: Regulatory assets under management went from $97,325,022 to $119,572,858 (+23%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated February 25, 2026)

- Asset-based fee: 0.3% to 2% a year (a range, as the brochure states it)

> Our annual fees for Separately Managed Accounts are based upon a percentage of assets under management and generally range from 0.30% to 2.00%.

- Account minimum: None

> Hicks & Associates does not require a minimum account size.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $119,572,858
- Discretionary: $119,566,821
- Non-discretionary: $6,037

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 125 | $43,616,439 |
| High net worth individuals | 37 | $75,956,419 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2022 (3 years)
- Employees: 4 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NC, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- hicks-associates.com
- theodorehicks.com
- Facebook @TheodoreHicksAssociates
- LinkedIn @hicks-associates
- X @hicks_associate
- YouTube @Hicks-Associates

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2023 | $102,208,076 | 6 | September 13, 2023 |
| October 2024 | $123,957,580 | 6 | July 29, 2024 |
| October 2025 | $97,325,022 | 4 | March 11, 2025 |
| October 2026 | $119,572,858 | 4 | February 25, 2026 |

Regulatory assets under management: $102,208,076 in the October 2023 data and $119,572,858 in the October 2026 data, up 17%.
Total employees: 6 in October 2023 and 4 in October 2026.

## Changes in the filing (last 12 months)

### March 2026
- Regulatory assets under management went from $97,325,022 to $119,572,858 (+23%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Hicks & Associates Wealth Management, LLC (CRD 323171): Form ADV filing data as of October 2026.