Piedmont Capital Management, Llc
- Regulatory AUM
- $496M
- Discretionary
- $496M
- Clients
- 96
- Avg AUM / client
- $5.2M
- Accounts
- 223
- Employees
- 24
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 19, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 31 | $6.3M | 1.28% |
| High net worth individuals | 57 | $326M | 65.8% |
| Pooled investment vehicles (non-investment companies) | 1 | $119M | 24.0% |
| Charitable organizations | 4 | $21.9M | 4.43% |
| Corporations and other businesses | 3 | $22.2M | 4.48% |
Private funds (1)
Reported in Form ADV Section 7.B.(1), filing of Jul 2024 · $109M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Piedmont Partners Fund, Llc | Other Private Fund | North Carolina | $109M | 38 |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| John Meredith Simms | Chief Investment Strategist | CFA | Sep 2011 (15y) | Less than 5% |
| Daniel Felton Smith | Chief Investment Officer | CFP CFA | Nov 2015 (11y) | Less than 5% |
| Gleason, Susan, Benson | Executive Vice President/ Chief Client Officer/ Treasurer | Dec 2023 (3y) | Less than 5% | |
| Harris, James | Cco, Ceo And President | Jun 2024 (2y) | Less than 5% | |
| Orville John Igharas | Registered representative | Oct 2024 (2y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Piedmont Financial, Llc | Owner | Sep 2011 | A | 75% or more |
| Richardson Corporation | Owner | Sep 2011 | B | ≈ 56.25% – 100% via Piedmont Financial, Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Richardson Corporation: 75% – 100% of Piedmont Financial, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
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.
Private funds (1, $109M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Piedmont Partners Fund, Llc | Other Private Fund | $109M | $1.0K | 38 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/19/2026 | 1.27 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
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- National Financial Services (Fidelity) $368M (74% of AUM) Mar 2026
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 19, 2026.
View current Form ADV (SEC/IAPD) ↗