Brodie Wealth Management
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$286,392
Clients
6
0% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
6
LowAverage account size
$47,732
About
Brodie Wealth Management LLC provides wealth management, financial planning, asset management, and insurance product recommendations to a mix of individual and institutional clients, including pension and profit-sharing plans, registered investment companies, endowments, trusts, and small businesses. Services are delivered through the firm’s investment adviser representative and include discretionary and non-discretionary portfolio management, financial planning, retirement plan advisory, and coordination with third‑party managers.
The firm tailors investment strategies to each client’s objectives, risk tolerance, and time horizon and generally recommends traditional asset classes such as equities, fixed income, mutual funds, and ETFs while retaining the ability to use alternative instruments where appropriate. Brodie Wealth also provides ERISA §3(21) and §3(38) retirement plan advisory services, participant-level held‑away account management, and periodic educational seminars and workshops for plan participants.
Notable distinctions include an affiliation with an in‑house accounting practice that provides tax and estate planning support, and the firm’s adviser is a licensed insurance agent — both relationships are disclosed and managed for potential conflicts of interest. The brochure also discloses the use of a broad investment toolkit (including derivatives, options, and futures where suitable) and a small, practitioner‑led structure that nonetheless accepts plan fiduciary roles and participant services more commonly seen at larger firms.
Client services
Financial planning
Portfolio management
Educational seminars or workshops
Erisa 3(21)/3(38) plan svc, held-away acct mgmt, ongoing consult, insurance recs, 3rd-party mgrs, tax/estate coord. w/ affiliate
Erisa 3(21)/3(38) plan svc, held-away acct mgmt, ongoing consult, insurance recs, 3rd-party mgrs, tax/estate coord. w/ affiliate
Expertise
College savings (529s, UTMA, etc.)
Income planning
Options & derivatives strategies
Fee options
Financial planning fees may be charged as fixed fees up to $25,000, negotiable; retirement plan advisory fees may be flat dollar fees depending on scope.
$0 - $500,000: 1.50% annually $500,001 - $1,500,000: 1.15% annually $1,500,001+: 1.00% annually
Commissions received from insurance sales through licensed insurance agent activities.
Hourly financial planning fees may be charged as agreed upon in advance with clients.
Account minimum: $25,000 Fee-only: Financial planning fees typically range from $0 to $25,000, negotiable; ongoing investment consulting fees range from $500 to $12,500 per quarter.
Main office location
Brodie Wealth Management
2500 Regency Parkway
Cary NC 27518, United States
Number of offices
2
Most active in
Brodie Wealth Management has reported serving >5 clients in these states in the last 12 months.
North Carolina
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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