Core Compliance Group, Llc
- Regulatory AUM
- $338M
- Discretionary
- $338M
- Clients
- 1,163
- Avg AUM / client
- $291K
- Accounts
- 1,819
- Employees
- 9
AUM over time
Annual snapshots from Form ADV filings · as of Mar 02, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 873 | $132M | 39.0% |
| High net worth individuals | 268 | $200M | 59.0% |
| Pension and profit sharing plans | 1 | $47.0K | 0.01% |
| Charitable organizations | 5 | $3.4M | 1.01% |
| Corporations and other businesses | 16 | $3.1M | 0.9% |
People (10)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Meredith Lee Strosser | Chief Compliance Officer / Owner | Oct 2019 (7y) | 50% – 75% | |
| William Merritt King | Chief Operations Officer / Owner | CFP | Oct 2019 (7y) | 50% – 75% |
| N Elizabeth Gregg | Registered representative | Jun 2020 (6y) | ||
| Hiram Nmn Hutchison | Registered representative | Apr 2021 (5y) | ||
| James Anthony Mccollom | Registered representative | Jul 2021 (5y) | ||
| Joseph Angelo Giordano | Registered representative | Apr 2022 (4y) | ||
| Korey White | Registered representative | Feb 2023 (3y) | ||
| Andrea Christina Kovacs | Registered representative | May 2024 (2y) | ||
| Catherine Victoria Fisher | Registered representative | Nov 2024 (2y) | ||
| Jonathan Robert Swofford | Registered representative | Mar 2026 (0y) |
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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/02/2026 | 1.03 MB | 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
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Reported custodians
- LPL Financial $150M (44% of AUM) Mar 2026
- Sei Investments Distribution Co. $70.0M (21% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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 02, 2026.
View current Form ADV (SEC/IAPD) ↗