Core Compliance Group provides financial planning, portfolio management for individuals and small businesses, and pension consulting. Financial planning was provided to 26–50 clients last fiscal year.
Core Compliance Group reports 1,163 clients. They include 873 individual clients, 268 high-net-worth individuals, and 16 corporations and other businesses. Of its assets, 100.0% ($338M across 1,819 accounts) are managed with discretion. A wrap fee program the firm both sponsors and manages holds $119M. It advised 14 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 75% | 39% |
| High-net-worth individuals | 23% | 59% |
| Pension and profit-sharing plans | <1% | <1% |
| Charitable organizations | <1% | 1% |
| Corporations and other businesses | 1% | <1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 873 | $132M | 39.0% | $151K |
| High-net-worth individuals | 268 | $200M | 59.0% | $745K |
| Pension and profit-sharing plans | 1 | $47K | 0.0% | $47K |
| Charitable organizations | 5 | $3.41M | 1.0% | $683K |
| Corporations and other businesses | 16 | $3.05M | 0.9% | $191K |
| Total | 1,163 | $338M | 100% | $291K |
- Clients
- 873
- Regulatory AUM
- $132M
- AUM share
- 39.0%
- Avg. per client
- $151K
- Clients
- 268
- Regulatory AUM
- $200M
- AUM share
- 59.0%
- Avg. per client
- $745K
- Clients
- 1
- Regulatory AUM
- $47K
- AUM share
- 0.0%
- Avg. per client
- $47K
- Clients
- 5
- Regulatory AUM
- $3.41M
- AUM share
- 1.0%
- Avg. per client
- $683K
- Clients
- 16
- Regulatory AUM
- $3.05M
- AUM share
- 0.9%
- Avg. per client
- $191K
Total
- Clients
- 1,163
- Regulatory AUM
- $338M
- AUM share
- 100%
- Avg. per client
- $291K
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 14
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 26–50
Core Compliance Group is paid through a percentage of assets under management, hourly charges and fixed fees (other than subscription fees). The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure. The brochure also prices 4 other services, listed under fee details.
Fee details and sources
Other fees
- Coaching Services
- Coaching fees are set in the coaching agreement, are negotiable, and are billed quarterly in advance.
- Consulting Services
- Hourly consulting is charged at up to $500 an hour as negotiated, or at a fee agreed for specific client needs.
- Financial Planning Services
- Financial planning is billed hourly or as a per-plan flat fee; the initial fixed fee ranges from $0 to $15,000, and any ongoing recurring fee is negotiable.
- Participant Investment Advice
- Plan participants pay up to 2.0% of plan assets, or an hourly or annual flat fee, negotiable and billed in arrears.
Meredith Strosser owns 50% to 75% of Core Compliance Group. The leadership team of Core Compliance Group includes Chief Compliance Officer Meredith Strosser. It has 9 employees.
Leadership
- Meredith StrosserChief Compliance Officer / Owner
- William KingChief Operations Officer / Owner
Investment adviser representatives
10 representatives listed in the SEC register as of 9 October 2026.
- Catherine Victoria Fisher
- Joseph Angelo Giordano
- N Elizabeth Gregg
- Hiram NMN Hutchison
- William Merritt King II
- Andrea Christina Kovacs
- James Anthony McCollom
- Meredith Lee Strosser
- Jonathan Robert Swofford
- Korey White
Staff
- 9 employees
- 9 in advisory functions
- 9 state-registered reps
- 6 broker-dealer reps
- 8 insurance agents
- Owns 50% to 75% of Core Compliance Group, LLC
Meredith Strosser
Control person · since October 2019
- Owns 50% to 75% of Core Compliance Group, LLC
William King
Control person · since October 2019
Core Compliance Group’s regulatory assets grew 2.2× from $153M (March 2022) to $338M (March 2026); clients rose from 703 to 1,163 and employees were 9 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $338M | 1,163 | 9 | 4 |
| March 2025 | $297M | 1,100 | 11 | 4 |
| March 2024 | $238M | 978 | 11 | 4 |
| March 2023 | $178M | 1,323 | 4 | 2 |
| March 2022 | $153M | 703 | 9 | 2 |
Besides its headquarters, Core Compliance Group has 3 offices, with 4 listed addresses in Mississippi, North Carolina and South Carolina.
North Carolina · 2 listed addresses
- 5960 Fairview RD, Charlotte
- 6100 Fairview RD, Charlotte
Mississippi · 1 listed address
- 320 Brookhaven St, Brookhaven
South Carolina · 1 listed address
- 744 Arden Lane, Suite 175, Rock HillHQ
Other business names
Core Compliance Group has reported 5 other business names to the SEC.
- Brookhaven Wealth Management
- Core Advisory Group
- Fairview Strategic Planning
- Fairview Wealth Advisors
- King Wealth Partners
Contact and registration details
- Legal name
- Core Compliance Group, LLC
- Headquarters
- 744 Arden Lane, Suite 175, Rock Hill, SC 29732
- Website
- Not reported
- Phone
- 803-323-8706
- SEC file
- 801-122934
- Structure
- South Carolina LLC
- Fiscal year end
- December
Core Compliance Group uses LPL Financial ($150M, 68%) and SEI Investments Distribution ($70M, 32%) as custodians for its separately managed accounts. Core Compliance Group does not have custody of client assets.
- LPL FinancialLPL Financial LLC · Fort Mill, SC · $150M68%
- SEI Investments DistributionSEI Investments Distribution Co. · Oaks, PA · $70M32%
At year end, Core Compliance Group’s separately managed accounts were mostly in funds (90%).
What the accounts hold
- Stocks5%
- Funds90%
- Bonds2%
- Investment grade corporate bonds1%
- High-yield corporate bonds1%
- Cash3%
How many clients does Core Compliance Group have?
Core Compliance Group has 1,163 clients and manages $338 million for them, as of March 2026. They include 873 individual clients, 268 high-net-worth individuals, and 16 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 2 March 2026
What services does Core Compliance Group offer?
Core Compliance Group provides financial planning, portfolio management for individuals and small businesses, and pension consulting.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Core Compliance Group use?
Core Compliance Group’s separately managed account assets are held at LPL Financial LLC (Fort Mill, SC), with $150M and SEI Investments Distribution Co. (Oaks, PA), with $70M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 2 March 2026
How many financial advisors does Core Compliance Group have?
Core Compliance Group has 9 investment adviser representatives registered with state securities authorities, out of 9 employees, and 9 perform investment advisory functions. 6 employees are registered representatives of a broker-dealer and 8 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Core Compliance Group invest in?
At the end of its last fiscal year, Core Compliance Group’s separately managed accounts held 90% registered funds (mutual funds, ETFs, BDCs), 5% exchange-traded equities, 3% cash and equivalents, 1% investment grade corporate bonds and 1% high-yield corporate bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Core Compliance Group?
Core Compliance Group’s direct owners are Meredith Strosser (50% to 75%) and William King (50% to 75%).
Source: Form ADV Part 1A, Schedules A and B, filed 2 March 2026
How does Core Compliance Group get paid?
Core Compliance Group is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
Is Core Compliance Group registered with the SEC?
Yes, Core Compliance Group has been registered with the SEC as an investment adviser since 4 January 2022. Its CRD number is 306661 and its SEC file number is 801-122934.
Source: Form ADV Part 1A, Item 1, filed 2 March 2026; IAPD firm record
How do I contact Core Compliance Group?
Core Compliance Group’s main office is at 744 Arden Lane, Suite 175, Rock Hill, SC 29732. Its phone number is 803-323-8706.