AUMdb

Providence Capital Advisors, Llc

SEC-registered Wealth Manager · Mid-sized ($1B–$10B) CRD 174631 · SEC file 801-107683 · Charlotte, NC · WWW.PROVIDENCECAPITALADVISORS.COM
☆ Save with Pro ADV data as of Mar 10, 2026
Regulatory AUM
$1.1B
Discretionary
$1.1B
Clients
429
Avg AUM / client
$2.5M
Accounts
2,745
Employees
14

AUM over time

$0 $1.1B
Dec 2014 Dec 2025

Annual snapshots from Form ADV filings · as of Mar 10, 2026

Investments (13F portfolio — 200 positions, $612,684,143)

13F period Mar 31, 2026
#IssuerClassValueShares% of 13F% of AUM
1 Apple Inc COM $21,744,815 85,680 3.55% 2.03%
2 Nvidia Corporation COM $20,207,554 115,869 3.3% 1.88%
3 Microsoft Corp COM $19,199,665 51,867 3.13% 1.79%
4 Alphabet Inc CAP STK CL C $18,470,590 64,389 3.01% 1.72%
5 Ishares Tr CORE S&P500 ETF $18,343,314 28,082 2.99% 1.71%
6 Amazon Com Inc COM $17,592,030 84,467 2.87% 1.64%
7 Jpmorgan Chase &Co COM $12,280,868 41,749 2.0% 1.15%
8 Ishares Tr CORE MSCI EAFE $11,210,624 123,833 1.83% 1.05%
9 Texas Instrs Inc COM $11,165,574 57,513 1.82% 1.04%
10 Slb Limited COM STK $10,041,056 195,389 1.64% 0.94%
11 Bank America Corp COM $9,712,429 199,229 1.59% 0.91%
12 Prologis Inc. COM $9,599,476 72,624 1.57% 0.9%
13 Thermo Fisher Scientific Inc COM $9,598,546 19,528 1.57% 0.9%
14 Brookfield Corp CL A LTD VT SH $9,206,409 227,487 1.5% 0.86%
15 Linde Plc SHS $9,165,007 18,487 1.5% 0.85%
16 Deere &Co COM $8,745,172 15,525 1.43% 0.82%
17 Quanta Svcs Inc COM $8,655,864 15,766 1.41% 0.81%
18 Phillips 66 COM $8,471,370 46,500 1.38% 0.79%
19 Dell Technologies Inc CL C $8,206,500 50,000 1.34% 0.77%
20 Home Depot Inc COM $8,105,911 24,646 1.32% 0.76%
21 Tjx Cos Inc New COM $7,861,233 49,225 1.28% 0.73%
22 Cisco Sys Inc COM $7,630,123 98,339 1.25% 0.71%
23 Kroger Co COM $7,583,328 104,800 1.24% 0.71%
24 Palo Alto Networks Inc COM $7,538,407 47,021 1.23% 0.7%
25 Union Pac Corp COM $7,530,925 31,040 1.23% 0.7%

Top 25 of 200 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).

Who they serve

Client typeClientsAUM% of AUM
Individuals (non-high net worth) 170 $58.5M 5.46%
High net worth individuals 254 $999M 93.1%
Pension and profit sharing plans Fewer than 5 clients $6.8M 0.63%
Charitable organizations 5 $8.2M 0.77%

Retirement plan clients

Plans that reported this firm as an investment service provider on Form 5500 Schedule C.

Plan Location Plan year
Carolinas Pathology Group, P.A. Profit Sharing Plan Carolinas Pathology Group, P.A. 2024

People (7)

roster as of Jul 20, 2026
NameRole / titleCredentialsWith firm sinceOwnership
Brian Summers Jones Managing Member And Director Of Financial Planning CFP Jan 2015 (12y) 25% – 50%
Thomas Michael Searson Managing Member, Chief Investment And Chief Compliance Officer CFA Jan 2015 (12y) 25% – 50%
Stephen Patrick Ratcliffe Managing Member And Director Of Financial Planning CFP Jun 2016 (10y) 25% – 50%
Melissa Stewart Wall Member CFP Sep 2017 (9y) 5% – 10%
Brian P Alderson Member CFA Mar 2018 (8y) Less than 5%
David Huff Registered representative CFA Oct 2023 (3y)
Brian Michael Huff Registered representative CFP Feb 2025 (1y)

Undisclosed: 0% – 20% of the firm is not attributable from the filed Schedule A bands.

Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.

Retirement plans served (1)

PlanSponsorParticipantsPlan assetsAs of
Carolinas Pathology Group, P.A. Profit Sharing Plan Carolinas Pathology Group, P.A. 133 $49.1M 01/01/2024

From Form 5500 service-provider disclosures.

Documents (1 archived)

FormPeriodSize
Form ADV (full filing) 03/10/2026 994 KB View · PDF · Source ↗

Archived copies of the firm's regulatory filings, versioned by content hash.

Disciplinary disclosures

No disciplinary events reported on the firm's latest Form ADV filing.

How they charge

  • Percentage of assets under management
  • Hourly charges

Services

  • Financial planning services
  • Portfolio management for individuals/small businesses
  • Pension consulting services

Custody

Reported custodians

Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).

Firm reports having custody of client funds or securities (Item 9.A).

Source

All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 10, 2026.

View current Form ADV (SEC/IAPD) ↗