{"url":"https://nivawealth.com/firms/core-compliance-group-306661","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/306661","regulatoryAum":338381991,"crd":"306661","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7618154","suffix":null,"lastName":"Fisher","firstName":"Catherine","middleName":"Victoria"},{"crd":"6703896","suffix":null,"lastName":"GIORDANO","firstName":"JOSEPH","middleName":"ANGELO"},{"crd":"3143948","suffix":null,"lastName":"GREGG","firstName":"N","middleName":"ELIZABETH"},{"crd":"2427979","suffix":null,"lastName":"HUTCHISON","firstName":"HIRAM","middleName":"NMN"},{"crd":"5945182","suffix":"II","lastName":"KING","firstName":"WILLIAM","middleName":"MERRITT"},{"crd":"7092335","suffix":null,"lastName":"Kovacs","firstName":"Andrea","middleName":"Christina"},{"crd":"3018906","suffix":null,"lastName":"MCCOLLOM","firstName":"JAMES","middleName":"ANTHONY"},{"crd":"5894188","suffix":null,"lastName":"STROSSER","firstName":"MEREDITH","middleName":"LEE"},{"crd":"6788403","suffix":null,"lastName":"SWOFFORD","firstName":"JONATHAN","middleName":"ROBERT"},{"crd":"6746809","suffix":null,"lastName":"White","firstName":"Korey","middleName":null}],"total":10,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2022-03-30","regulatoryAum":152965923,"clients":703,"employees":9,"offices":2},{"filedOn":"2023-03-28","regulatoryAum":177714640,"clients":1323,"employees":4,"offices":2},{"filedOn":"2024-03-27","regulatoryAum":238224870,"clients":978,"employees":11,"offices":4},{"filedOn":"2025-03-28","regulatoryAum":296813729,"clients":1100,"employees":11,"offices":4},{"filedOn":"2026-03-02","regulatoryAum":338381991,"clients":1163,"employees":9,"offices":4}],"secFileNumber":"801-122934","legalName":"Core Compliance Group, LLC","displayName":"Core Compliance Group","slug":"core-compliance-group-306661","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"South Carolina limited liability company","fiscalYearEnd":"December","headquarters":{"street":"744 Arden Lane, Suite 175","city":"Rock Hill","state":"SC","stateName":"South Carolina","country":"United States","postalCode":"29732"},"tradeNames":["Brookhaven Wealth Management","Core Advisory Group","Fairview Strategic Planning","Fairview Wealth Advisors","King Wealth Partners"],"registration":{"secApproved":"4 January 2022","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":290856.86590709904,"staff":{"employees":9,"advisory":9,"brokerDealerReps":6,"insuranceAgents":8,"promoters":0},"aum":{"regulatory":338381991,"discretionary":338381991,"discretionaryAccounts":1819,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":118673258,"nonUsClientsPct":0,"nonAumClients":14},"clientTypes":[{"label":"Individuals (other than HNW)","clients":873,"regulatoryAum":132126225},{"label":"High-net-worth individuals","clients":268,"regulatoryAum":199741459},{"label":"Pension and profit-sharing plans","clients":1,"regulatoryAum":47001},{"label":"Charitable organizations","clients":5,"regulatoryAum":3412598},{"label":"Corporations and other businesses","clients":16,"regulatoryAum":3054708}],"feePrograms":[{"role":"other","program":"Coaching Services","summary":"Coaching fees are set in the coaching agreement, are negotiable, and are billed quarterly in advance.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013215","versionId":1013215,"submittedOn":"2026-03-02","documentName":"ADV PART 2A"},{"role":"other","program":"Consulting Services","summary":"Hourly consulting is charged at up to $500 an hour as negotiated, or at a fee agreed for specific client needs.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013215","versionId":1013215,"submittedOn":"2026-03-02","documentName":"ADV PART 2A"},{"role":"other","program":"Financial Planning Services","summary":"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.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013215","versionId":1013215,"submittedOn":"2026-03-02","documentName":"ADV PART 2A"},{"role":"other","program":"Participant Investment Advice","summary":"Plan participants pay up to 2.0% of plan assets, or an hourly or annual flat fee, negotiable and billed in arrears.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013215","versionId":1013215,"submittedOn":"2026-03-02","documentName":"ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T10:49:33.589708+00:00","documents":[{"name":"ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013215","versionId":1013215,"submittedOn":"2026-03-02"}]},"custodians":[{"name":"LPL Financial LLC","shortName":"LPL Financial","location":"Fort Mill, SC","smaAssets":150262934},{"name":"SEI Investments Distribution Co.","shortName":"SEI Investments Distribution","location":"Oaks, PA","smaAssets":69961319}],"custodyNote":"Core Compliance Group does not have custody of client assets.","leadership":[{"name":"Meredith Strosser","title":"Chief Compliance Officer / Owner","crd":"5894188"},{"name":"William King","title":"Chief Operations Officer / Owner","crd":"5945182"}],"ownership":[{"label":"Meredith Strosser","detail":"Chief compliance officer / owner in the 50% to 75% ownership band and a control person, since October 2019."},{"label":"William King","detail":"Chief operations officer / owner in the 50% to 75% ownership band and a control person, since October 2019."}],"filedOffices":{"otherThanPrincipal":3,"privateResidences":0},"listedOfficeAddresses":4,"foreignOffices":[],"officesByState":[{"state":"Mississippi","offices":1,"addresses":[{"street":"320 Brookhaven St","city":"Brookhaven"}]},{"state":"North Carolina","offices":2,"addresses":[{"street":"5960 Fairview RD","city":"Charlotte"},{"street":"6100 Fairview RD","city":"Charlotte"}]},{"state":"South Carolina","offices":1,"addresses":[{"street":"744 Arden Lane, Suite 175","city":"Rock Hill","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"803-323-8706","stateRegisteredReps":9,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services"],"financialPlanningClients":"26-50","assetMix":[{"label":"Exchange-traded equity securities","percent":5},{"label":"Investment grade corporate bonds","percent":1},{"label":"Non-investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":90},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"2 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/306661/PDF/306661.pdf","brochureDate":"2 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013215","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Core Compliance Group have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Core Compliance Group offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Core Compliance Group use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Core Compliance Group have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Core Compliance Group invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Core Compliance Group?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Core Compliance Group get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Core Compliance Group registered with the SEC?","answer":"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","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Core Compliance Group?","answer":"Core Compliance Group’s main office is at 744 Arden Lane, Suite 175, Rock Hill, SC 29732. Its phone number is 803-323-8706.","source":"Form ADV Part 1A, Item 1.F, filed 2 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}