Broker-dealer firm · Charlotte, NC
Milestone Investments, Inc.
SEC-registered investment adviser · CRD 47090 · SEC 801-123585
At a glance
Milestone Investments, Inc. is an SEC-registered investment adviser based in Charlotte, North Carolina, with $277 million in regulatory assets under management as of its Form ADV filed February 4, 2026. Its largest client group by assets is pension and profit sharing plans, and it reports 69 individual clients. By Form ADV it is a broker-dealer firm, ranked 260th of 391 broker-dealer firms and 10,587th of 17,210 SEC-registered advisers by assets.
Main office 704-716-2749milestoneinvestmentsinc.comAs filed on Form ADV
- Regulatory AUM
- $277M
- Rank among broker-dealer firms
- #260 of 391
- Rank among all SEC RIAs
- #10,587 of 17,210
- Rank in North Carolina
- #175 of 288
- Individual clients
- 69
- High-net-worth clients
- 23
- Accounts
- 138
- Discretionary
- 0% of AUM
- Employees
- 2
- Advisory staff
- 2
- Offices
- 1
Owners and executives on its Form ADV
- Fredrick William FisherCEO, CCO, CFO, Finop
- Richard Woodrow Jr AddisChief Operating Officer, AML Officer, Technology Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Milestone Investments, Inc. is a hybrid RIA: 2 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed February 2026) names Park Avenue Securities as the broker-dealer its advisers are registered with.
Richard also spent 5 years as a registered representative with Transamerica, Cigna and Park Avenue Securities with a focus on qualified retirement plans.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pension and profit sharing plans | 22 | $233M | 84% |
| High-net-worth individuals | 23 | $32M | 12% |
| Individuals | 46 | $12M | 4% |
Disciplinary disclosures
Milestone Investments, Inc. reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
How it’s paid
- A percentage of assets under management
- Hourly charges
- Commissions
Form ADV and brochures on the SEC’s adviser search ↗milestoneinvestmentsinc.com ↗
AtlasMembers
The full record on Milestone Investments, Inc.
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, 3 years of filings
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- Growth over one, three and five years
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- Rank against 160 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Milestone Investments, Inc. manage?
Milestone Investments, Inc. reports $277 million in regulatory assets under management across 138 accounts, on its Form ADV filed February 4, 2026.
What kind of firm is Milestone Investments, Inc.?
Milestone Investments, Inc. 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 Milestone Investments, Inc.’s clients?
By assets, its largest client types are pension and profit sharing plans ($233 million, 22 clients); high-net-worth individuals ($32 million, 23 clients); individuals ($12 million, 46 clients).
Does Milestone Investments, Inc. have any disciplinary history?
Milestone Investments, Inc. 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 Milestone Investments, Inc.’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 (2026-02-04), 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 →