LPb Capital, LLC (Pinehurst)


LPb Capital, LLC is an adviser based in Pinehurst. It manages $17.65 million of regulatory assets for 279 client accounts. It has been registered with the SEC as an adviser since 2008.

LPb Capital provides financial planning services, portfolio management for individuals and small businesses, and pension consulting services. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.

LPb Capital: assets under management

The assets under management (AUM) of LPb Capital, LLC is $17.65 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -41% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $17.65 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $63.27 thousand each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay LPb Capital, LLC for their services and products based on a percentage of assets under management and commissions. Commissions are paid and earned by the adviser when a trade or a sales of an investment is made. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Indirect Owners

The SEC currently registers 3 indirect owners.

Name Entity Date acquired Ownership Employer ID
John J. Rose Owner/member 1 Jun 2009 50% - 75% 5698482
Patricia M. Rose Owner/member 1 Jun 2009 50% - 75% 5698485
Gary Pappas Managing member 1 Dec 2010 50% - 75% 5531903

Based in Pinehurst

The principal office where LPb Capital, LLC performs its advisory services is located at 5 Brookhaven Road, Pinehurst, NC 28374, which is also the mailing address of the firm. An additional office of the firm is in Wilmington, MA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 877-784-4367 or by fax 877-784-4367. The normal business hours are 9am-5pm on Monday - Friday.