SourcingSourcing

PENDLETON FINANCIAL, LLC

B55
CRD 325303·SEC 801-127988·RALEIGH, NC
AUM
$160.0M
$100M-$500M
Est. Revenue
$1.6M
@ 1% on AUM
Est. EBITDA
$480K
@ 30% margin
Est. Deal Value
$3.8M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
PENDLETON FINANCIAL, LLC
CRD
325303
SEC file #
801-127988
EIN
—
DBA names
Pendleton Financial Wealth Management

Economics

AUM
$160.0M
AUM band
$100M-$500M
AUM trajectory
'25'26
$141.9M → $160.0M▲ +13%
Client mix
Individuals Other76
Individuals High Net Worth52
Pension Profit Sharing Plans13
Corporations2

Operations

Employees (total)
4
Advisory staff (per ADV)
1
Advisory staff (5-yr trend)
'25'26
1 advisors → 1 advisors▬ 0%
Primary office
RALEIGH NC
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPension consultingSelection of other advisers
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
pendletonfinancial.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
PENDLETON, GRAY, ELLIS
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
PENDLETON, GRAY, ELLIS
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
PENDLETONFINANCIAL.COM
Rdap Domain Creation Date
2000-07-10T20:28:21Z
Rdap Firm Age Years
26
Rdap Firm Age Band
20+y
Rdap Registrar
eNom, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No
Form 5500 Plan Count
1
Form 5500 Total Compensation
42,343
Form 5500 Compensation Trajectory 3y
202542,343
Form 5500 Plan Count Trajectory 3y
20251
Schedule C Total Compensation
42,343
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.5795
Soi Zip Pct 200k Plus
0.3887
Soi Zip Returns 200k Plus
2200
Soi Zip Total AGI
1,985,754
Fdic Zip Total Deposits
9,109,735,000
Fdic Zip Branch Count
101
Fdic Zip Top Banks
First Carolina Bank
Wells Fargo Bank, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (24)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
1
Bc Firm IAR Count
1
Custodian Candidates
Full
Charles Schwab6
E*trade4
Fdic Zip Branches Raw
First-Citizens Bank & Trust CompanyRaleigh, NC
Southern National Bank of North CarolinaRaleigh, NC
Fdic Zip HHI
1813.33
Fdic Zip Top Bank Share Pct
33.55
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-07-10T20:28:21Z
Rdap Domain Last Changed
2025-06-11T06:26:04Z
Rdap Nameservers
Dns1.name-services.comDns2.name-services.comDns3.name-services.comDns4.name-services.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI8,706
Returns810
Stub 2
AGI20,347
Returns550
Stub 3
AGI36,371
Returns580
Soi Zip Total Business Income
60,342
Soi Zip Total Cap Gains
358,678
Soi Zip Total Dividends
111,505
Soi Zip Total Returns
5,660
Top Owner CRD
5968190
Trust Company Affiliate
No

People (1)

1
PENDLETON, GRAY, ELLIS
IAR · Direct Owner · 87.5%
5968190