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Circle One Wealth Management, LLC (Charlotte)


Circle One Wealth Management, LLC is an adviser based in Charlotte. It manages $182 million of regulatory assets for 1,289 client accounts. It has been registered with the SEC as an adviser since 2009 and has operated in the jurisdictions of California, Florida, Massachusetts, and 5 other states.

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Circle One Wealth Management provides financial planning services, portfolio management for individuals and small businesses, and portfolio management for businesses and institutional clients. It prepares financial plans for more than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Circle One Wealth Management: assets under management

The assets under management (AUM) of Circle One Wealth Management, LLC is $182 million. The firm's AUM has grown by 0% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $132 million in discretionary accounts and $50 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $111.96 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $454.55 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Circle One Wealth Management, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Indirect Owners

The SEC currently registers 5 indirect owners.

Name Entity Date acquired Ownership Employer ID
Richard David Peck Trustee 1 Jul 2007 50% - 75% 359116
Virgina R Todd Peck Trustee 1 Dec 2007 50% - 75% 5745539
Virgina Rae Todd Peck Trustee 1 Dec 2007 50% - 75% 5745539
John Robin Lakian Owner 1 Jan 2009 25% - 50% 1085578
Llc Pangea Capital Management Owner 1 Oct 2009 50% - 75% 26-2056533

Based in Charlotte

The principal office where Circle One Wealth Management, LLC performs its advisory services is located at 525 N Tryon St, Charlotte, NC 28202, which is also the mailing address of the firm. An additional office of the firm is in Charleston, SC. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 704-895-6133 or by fax 704-372-2366. The normal business hours are 8am - 5pm on Monday - Friday. You can find more information about the New York firm at www.circleonewealth.com.


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