Providence Capital Advisors, Llc
- Regulatory AUM
- $1.1B
- Discretionary
- $1.1B
- Clients
- 429
- Avg AUM / client
- $2.5M
- Accounts
- 2,745
- Employees
- 14
AUM over time
Annual snapshots from Form ADV filings · as of Mar 10, 2026
Investments (13F portfolio — 200 positions, $612,684,143)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % 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 type | Clients | AUM | % 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| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| 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)
| Plan | Sponsor | Participants | Plan assets | As 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)
| Form | Period | Size | |
|---|---|---|---|
| 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
- Fidelity $1.1B (99% 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 10, 2026.
View current Form ADV (SEC/IAPD) ↗