Broker-dealer firm · Raleigh, NC
Fortress Private Ledger, LLC
SEC-registered investment adviser · CRD 290298 · SEC 801-118075
At a glance
Fortress Private Ledger, LLC is an SEC-registered investment adviser based in Raleigh, North Carolina, with $584 million in regulatory assets under management as of its Form ADV filed March 31, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 681 individual clients. By Form ADV it is a broker-dealer firm, ranked 195th of 391 broker-dealer firms and 7,203rd of 17,210 SEC-registered advisers by assets.
Main office 919-322-2761fortressfinancialpartners.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $584M
- Rank among broker-dealer firms
- #195 of 391
- Rank among all SEC RIAs
- #7,203 of 17,210
- Rank in North Carolina
- #110 of 288
- Individual clients
- 681
- High-net-worth clients
- 98
- Accounts
- 1,528
- Discretionary
- 98% of AUM
- Employees
- 22
- Advisory staff
- 13
- Offices
- 7
Owners and executives on its Form ADV
- Joseph Nicholas III GrabarCeo/cco/trustee
- Ana Roumenova CarterFinop/cfo/pfo/poo
- Christopher Joseph GureOwner
Custody and brokerage
Broker-dealer
Hybrid RIA
Fortress Private Ledger, LLC is a hybrid RIA: 16 of its employees are also registered representatives of a broker-dealer.
Form ADV Part 1 doesn’t name an unaffiliated broker-dealer. The firm’s Part 2A brochure (Item 10) and each adviser’s record on the SEC’s adviser search do.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 98 | $260M | 45% |
| Individuals | 583 | $213M | 36% |
| Pension and profit sharing plans | 10 | $99M | 17% |
| Corporations or other businesses | 13 | $12M | 2% |
Disciplinary disclosures
Fortress Private Ledger, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Other services
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗fortressfinancialpartners.com ↗
AtlasMembers
The full record on Fortress Private Ledger, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 5 years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 145 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Fortress Private Ledger, LLC manage?
Fortress Private Ledger, LLC reports $584 million in regulatory assets under management across 1,528 accounts, 98% of it on a discretionary basis, on its Form ADV filed March 31, 2026.
What kind of firm is Fortress Private Ledger, LLC?
Fortress Private Ledger, LLC is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Fortress Private Ledger, LLC’s clients?
By assets, its largest client types are high-net-worth individuals ($260 million, 98 clients); individuals ($213 million, 583 clients); pension and profit sharing plans ($99 million, 10 clients).
Does Fortress Private Ledger, LLC have any disciplinary history?
Fortress Private Ledger, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Fortress Private Ledger, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-31), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →