CP
Charles William Pendergraft
31 Years of Experience
Firm Information
Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
106 advisors
Number of Clients
5,673 clients
Average Client Portfolio
$340K average
Assets Under Management
$1.9B
Fee Structure
Minimum Annual Fee:$500
Financial Plan Fee:$500 - $2,500
Hourly Rate:Up to $250/hr
CIAS's basic fee for portfolio management is up to 2% annually, but this is negotiable. Fees for financial planning and portfolio review services range from $500 to $2,500 on a fee basis or up to $250/hour. There is no minimum account size, but accounts may be subject to a minimum annual fee of $500, which may be negotiable.
Areas of Practice
Investment ManagementFinancial Planning & CoachingRetirement PlanningTax PlanningEstate Planning
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Advisor Information
Office location
100 E. Six Forks Road, Suite 200, Raleigh, NC, 27609
Get directionsRegulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
June 2009Denied
Customer Dispute
October 2008Denied
Customer Dispute
October 2008Denied
Other Business Activities
Charles owns Fall Creek Farm, engaging in farming and agriculture since 2015. This takes about a quarter of his time, with some hours during normal trading hours.
Employment History
Current Registrations
Capital Investment Advisory Services, LLC
June 2011 - Present · 14 yrs 7 mos
Capital Investment Group, INC.Broker
June 2011 - Present · 14 yrs 7 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
August 2009 - June 2011 · 1 yr 10 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker
August 2009 - June 2011 · 1 yr 10 mos
Wells Fargo Advisors, LLC
October 2002 - August 2009 · 6 yrs 10 mos
Wells Fargo Advisors, LLC Broker
June 2002 - August 2009 · 7 yrs 2 mos
Wachovia Securities, INC.Broker
October 2000 - June 2002 · 1 yr 8 mos
First Citizens Investor Services, INC. Broker
April 1998 - October 2000 · 2 yrs 6 mos
Uvest Investment ServicesBroker
May 1995 - July 1998 · 3 yrs 2 mos
Northwestern Mutual Investment Services, INC. Broker
January 1991 - March 1992 · 1 yr 2 mos
Robert W. Baird & CO. Incorporated Broker
January 1991 - March 1992 · 1 yr 2 mos
State Registrations23 states
ARCACOFLGAIAILKYMDMEMNMOMSNCNJNVNYOHPASCTNTXVA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.