# Pendleton Financial Wealth Management

> Pendleton Financial Wealth Management is an SEC-registered investment advisory firm in Raleigh, NC, registered since 2023, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.

- CRD: 325303
- Filed as: PENDLETON FINANCIAL WEALTH MANAGEMENT
- Legal name: Pendleton Financial, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Raleigh, NC
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/325303
- AdvisorCensus page: https://advisorcensus.com/firm/pendleton-financial-wealth-management-raleigh-nc-325303

## Quick answers

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

**Where is Pendleton Financial Wealth Management located?**
Pendleton Financial Wealth Management's principal office is in Raleigh, NC, according to its Form ADV.

**Is Pendleton Financial Wealth Management registered with the SEC or a state?**
Pendleton Financial Wealth Management is an SEC-registered investment advisory firm, registered since 2023. Status as filed: Approved. CRD 325303.

**How much does Pendleton Financial Wealth Management manage?**
Pendleton Financial Wealth Management reports $160,032,334 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary).

**How have Pendleton Financial Wealth Management's assets and staff changed since 2023?**
In the Form ADV data for Pendleton Financial Wealth Management: Regulatory assets under management: $102,809,721 in the October 2023 data and $160,032,334 in the October 2026 data, up 56%. Total employees: 1 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 Pendleton Financial Wealth Management serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (76); high net worth individuals (52); pension and profit sharing plans (but not the plan participants or government pension plans) (13).

**Which custodians does Pendleton Financial Wealth Management use?**
Pendleton Financial Wealth Management's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Ascensus Trust Company and Charles Schwab & Co., Inc. as custodians holding 10% or more of its separately managed account assets.

**Does Pendleton Financial Wealth Management 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/325303

**Does Pendleton Financial Wealth Management state an account minimum?**
Its Form ADV Part 2A brochure dated March 31, 2026 says: "There is no account minimum for any of Pendleton’s services, though there are minimum fees charged for various services as outlined above."

**What changed in Pendleton Financial Wealth Management's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $141,903,692 to $160,032,334 (+13%).

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated March 31, 2026)

- Account minimum: None

> There is no account minimum for any of Pendleton’s services, though there are minimum fees charged for various services as outlined above.

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

### Custodians (Schedule D, Section 5.K(3))
- Ascensus Trust Company
- 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: $160,032,334
- Discretionary: $160,032,334
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 76 | $19,089,087 |
| High net worth individuals | 52 | $67,462,306 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 13 | $69,850,739 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 2 | $3,630,202 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops

### Firm details
- Registered since: 2023 (3 years)
- Employees: 4 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NC
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- pendletonfinancial.com
- Facebook @pendletonfinancial
- LinkedIn @pendleton-financial
- YouTube @PendletonWealthStrategies
- YouTube @pendletonfinancial

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2023 | $102,809,721 | 1 | September 1, 2023 |
| October 2024 | $110,483,348 | 1 | March 25, 2024 |
| October 2025 | $141,903,692 | 4 | March 31, 2025 |
| October 2026 | $160,032,334 | 4 | March 31, 2026 |

Regulatory assets under management: $102,809,721 in the October 2023 data and $160,032,334 in the October 2026 data, up 56%.
Total employees: 1 in October 2023 and 4 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $141,903,692 to $160,032,334 (+13%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Pendleton Financial Wealth Management (CRD 325303): Form ADV filing data as of October 2026.