Kingfisher Capital, LLC (Charlotte)

Name: Kingfisher Capital, LLC
Address: 201 South College Street, Charlotte, NC, 28244
Telephone: 704-333-1710

Kingfisher Capital, LLC is a large advisory firm based in Charlotte. It manages $319.5 million of regulatory assets for 582 client accounts. It has been registered with the SEC as an adviser since 2009 and has operated in the jurisdictions of California, Delaware, Florida, and 7 other states.

Kingfisher Capital provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and selection of other advisers. It prepares financial plans for more than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Kingfisher Capital: assets under management

The assets under management (AUM) of Kingfisher Capital, LLC is $319.5 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 28% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $319.5 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $548.97 thousand each.

Kingfisher Capital has custody of $122.83 million in cash and securities for 201 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 45% of the total AUM. The second-largest asset type is investment and business development companies, which make up 25% of the firm’s portfolio. Investments in investment grade corporate bonds form 20% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Kingfisher Capital, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Kingfisher Capital serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Kingfisher Capital is high net worth individuals with 80 clients and $217.85 million of assets under management. Among the 9 most similar advisory firms, Kingfisher Capital has the 3rd lowest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $319.5 million for 267 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Kingfisher Capital doesn't advise any private funds.

Careers at Kingfisher Capital, LLC

The company employs 8 people that are either part- or full-time employees. 75 percent of the employees work as investment advisers or researchers. 5 employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Alexander Bateman Miles has served as the Chief Investment Officer since 1 Apr 2009. Howell Knight Hallett joined the executive team most recently as the Managing Partner/Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Howell Knight Hallett	Managing partner/chief compliance officer	1 Apr 2009	50% - 75%	1043278
Alexander Bateman Miles	Managing partner/chief investment officer	1 Apr 2009	50% - 75%	4632749

Based in Charlotte

The principal office where Kingfisher Capital, LLC performs its advisory services is located at 201 South College Street, Charlotte, NC 28244, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 704-333-1710 or by fax 704-333-0026. The normal business hours are 9:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at kingfishercapital.com and its LinkedIn profile.