QFC Advisory provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, and educational seminars. Financial planning was provided to 1–10 clients last fiscal year.
QFC Advisory reports 211 clients. They include 179 individual clients, 27 high-net-worth individuals, and 2 corporations and other businesses. Of its assets, 99.9% ($129M across 590 accounts) are managed with discretion; $66.9K across 5 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 85% | 55% |
| High-net-worth individuals | 13% | 37% |
| Pension and profit-sharing plans | <1% | 2% |
| Corporations and other businesses | <1% | 4% |
| Other | <1% | 1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 179 | $71.3M | 55.3% | $398K |
| High-net-worth individuals | 27 | $47.3M | 36.7% | $1.75M |
| Pension and profit-sharing plans | Fewer than 5 | $2.65M | 2.1% | $2.65M |
| Corporations and other businesses | Fewer than 5 | $5.79M | 4.5% | $2.89M |
| Other | Fewer than 5 | $1.88M | 1.5% | $941K |
| Total | 211 | $129M | 100% | — |
- Clients
- 179
- Regulatory AUM
- $71.3M
- AUM share
- 55.3%
- Avg. per client
- $398K
- Clients
- 27
- Regulatory AUM
- $47.3M
- AUM share
- 36.7%
- Avg. per client
- $1.75M
- Clients
- Fewer than 5
- Regulatory AUM
- $2.65M
- AUM share
- 2.1%
- Avg. per client
- $2.65M
- Clients
- Fewer than 5
- Regulatory AUM
- $5.79M
- AUM share
- 4.5%
- Avg. per client
- $2.89M
- Clients
- Fewer than 5
- Regulatory AUM
- $1.88M
- AUM share
- 1.5%
- Avg. per client
- $941K
Total
- Clients
- 211
- Regulatory AUM
- $129M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 1–10
QFC Advisory 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 one other service, listed under fee details.
Fee details and sources
Other fees
- Financial planning fees
- Financial planning is a fixed fee set by project, or hourly from $50 to $400 (standard $250), or per diem up to $3,500 a day.
Quality Financial Concepts LLC owns 75% or more of QFC Advisory and is in turn owned by James Horn (75% or more). The leadership team of QFC Advisory includes President James Horn. It has 4 employees, 2 of them in advisory roles.
Staff
- 4 employees
- 2 in advisory functions
- 2 state-registered reps
- 2 broker-dealer reps
- 2 insurance agents
- Owns 75% or more of QFC Advisory LLC
Quality Financial Concepts LLC
Control person · since January 2022
- Owns 75% or more of Quality Financial Concepts LLC
James Horn
Control person · since January 2022
Besides its headquarters, QFC Advisory has 0 offices, with 1 listed address in 1 state.
Tennessee · 1 listed address
- 115 West Broadway Avenue, MaryvilleHQ
Contact and registration details
- Legal name
- QFC Advisory LLC
- Headquarters
- 115 West Broadway Avenue, Maryville, TN 37801-4703
- Website
- Not reported
- Phone
- 865-984-3550
- SEC file
- 801-136332
- Structure
- Tennessee LLC
- Fiscal year end
- December
QFC Advisory’s named custodian for separately managed accounts is Charles Schwab ($129M). QFC Advisory does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $129M100%
At year end, QFC Advisory’s separately managed accounts were mostly in funds (58%) and stocks (37%).
What the accounts hold
- Stocks37%
- Funds58%
- Cash5%
How many clients does QFC Advisory have?
QFC Advisory has 211 clients and manages $129 million for them, as of June 2026. They include 179 individual clients, 27 high-net-worth individuals, and 2 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 2 June 2026
What services does QFC Advisory offer?
QFC Advisory provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, and educational seminars.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does QFC Advisory use?
QFC Advisory’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $129M. 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 June 2026
How many financial advisors does QFC Advisory have?
QFC Advisory has 2 investment adviser representatives registered with state securities authorities, out of 4 employees, and 2 perform investment advisory functions. 2 employees are registered representatives of a broker-dealer and 2 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 QFC Advisory invest in?
At the end of its last fiscal year, QFC Advisory’s separately managed accounts held 58% registered funds (mutual funds, ETFs, BDCs), 37% exchange-traded equities and 5% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns QFC Advisory?
QFC Advisory is owned through a holding company by James Horn. Its direct owner is Quality Financial Concepts LLC (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 2 June 2026
How does QFC Advisory get paid?
QFC Advisory 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
How do I contact QFC Advisory?
QFC Advisory’s main office is at 115 West Broadway Avenue, Maryville, TN 37801-4703. Its phone number is 865-984-3550.