Caroline Peek
Caroline Peek is a registered investment advisor at USA Asset Management, LLC, based in Charlotte, NC, with 18 years of industry experience. Caroline operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, High Net Worth, Investment Management, Retirement Planning, and 1 more. Their firm serves 45 clients with $32M 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 $250K | 1.75% |
| $250K - $500K | 1.45% |
| $500K - $750K | 1.25% |
| $750K - $1.0M | 1.05% |
| $1.0M - $2.0M | 0.85% |
| $2M+ | 0.75% |
Fees are negotiable.
Fee Estimator
Location
10800 Sikes Place, Suite 300, Charlotte, NC, 28277
Get directionsHistory
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 ActivitiesSells Insurance
Caroline works as an insurance agent since 1992, which is not investment-related. This takes about half of her time, with 16-24 hours per month occurring during trading hours.
Employment History
Current Registrations
USA Asset Management, LLC
Previous Registrations
USA Asset Management, LLC
State Registrations1 state
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.