Roger Dick
Roger Dick is a registered investment advisor at Uwharrie Investment Advisors, INC., based in Albemarle, NC, with 31 years of industry experience. Roger is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, High Net Worth, Investment Management, Retirement Planning, and 1 more. Their firm serves 875 clients with $340M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $100K | 1.50% |
| $100K - $500K | 1.50% |
| $500K - $1.0M | 1.25% |
| $1.0M - $2.0M | 1.00% |
| $2.0M - $9.0M | 0.75% |
| $9M+ | 0.50% |
Fees are negotiable on a client-by-client basis. Minimum account size is generally $100,000.
Fee Estimator
Location
132 North First Street, Albemarle, NC, 28001
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Roger is the President and CEO of Uwharrie Capital Corp, dedicating nearly full-time hours to this role. He is also involved in various other business activities including real estate, community development, and serving on boards, but none of these activities appear to involve selling insurance products.
Employment History
Current Registrations
Uwharrie Investment Advisors, INC.
The Strategic Alliance Corporation
The Strategic Alliance CorporationBroker
Previous Registrations
Uvest Financial Services Group, INC.Broker
State Registrations2 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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