# Southeast Investments, N.C., Inc.

> Southeast Investments, N.C., Inc. is a state-registered investment advisory firm in Charlotte, NC, registered since 2012, with no regulatory assets under management reported in its Form ADV filing dated March 27, 2020.

- CRD: 43035
- Filed as: SOUTHEAST INVESTMENTS, N.C., INC.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Charlotte, NC
- Filing period: October 2026
- Form ADV filing dated: March 27, 2020
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/43035
- AdvisorCensus page: https://advisorcensus.com/firm/southeast-investments-n-c-inc-charlotte-nc-43035

## Quick answers

**How is Southeast Investments, N.C., Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Southeast Investments, N.C., Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; commissions; other. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Southeast Investments, N.C., Inc. located?**
Southeast Investments, N.C., Inc.'s principal office is in Charlotte, NC, according to its Form ADV.

**Is Southeast Investments, N.C., Inc. registered with the SEC or a state?**
Southeast Investments, N.C., Inc. is a state-registered investment advisory firm, registered since 2012. Status as filed: APPROVED. CRD 43035.

**Does Southeast Investments, N.C., Inc. report any disciplinary disclosures?**
Reports 6 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), 11.D(4) (another regulator's order in the past ten years), 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, bar, or restriction), 11.G (pending regulatory proceeding), and 11.H(2) (pending civil proceeding). 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/43035

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Commissions
- Other

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 0 | Not reported |
| High net worth individuals | 0 | Not reported |
| Banking or thrift institutions | 0 | Not reported |
| Investment companies | 0 | Not reported |
| Business development companies | 0 | Not reported |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | Not reported |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | Not reported |
| Charitable organizations | 0 | Not reported |
| State or municipal government entities (including government pension plans) | 0 | Not reported |
| Other investment advisers | 0 | Not reported |
| Insurance companies | 0 | Not reported |
| Sovereign wealth funds and foreign official institutions | 0 | Not reported |
| Corporations or other businesses not listed above | 0 | Not reported |
| Other | 0 | Not reported |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2012 (14 years)
- Employees: 2 total, 0 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: SC
- Disclosures (Item 11): Reports 6 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(1): 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?
- 11.D(2): 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?
- 11.D(4): 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?
- 11.D(5): Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?
- 11.G: Is the firm or an advisory affiliate now the subject of a regulatory proceeding that could result in a yes answer to any part of 11.C, 11.D, or 11.E?
- 11.H(2): Is the firm or an advisory affiliate now the subject of a civil proceeding that could result in a yes answer to any part of 11.H(1)?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/43035

### Websites listed on Form ADV (Item 1.I)
- [southeastinvestmentsnc.com](https://southeastinvestmentsnc.com)

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Southeast Investments, N.C., Inc. (CRD 43035): Form ADV filing data as of October 2026.