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THE PINES WEALTH MANAGEMENT, LLC

SOUTHERN PINES, NC · CRD 326353 · IAPD ↗ · thepineswealth.com · (910) 475-8312

$485.9MRegulatory AUM
2Advisory reps
4Employees
0Clients
51-100Planning clients
0Private funds
11States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

61
April 2026 — THE PINES WEALTH MANAGEMENT, LLC reports 51-100 financial-planning clients, up from 26-50.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
45
June 2025 — THE PINES WEALTH MANAGEMENT, LLC notice-filed in NY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
49
March 2025 — THE PINES WEALTH MANAGEMENT, LLC notice-filed in FL, MI, PA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
67
March 2025 — THE PINES WEALTH MANAGEMENT, LLC reports 26-50 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
68
March 2025 — THE PINES WEALTH MANAGEMENT, LLC now reports custody of client assets ($287,807).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
53
August 2024 — THE PINES WEALTH MANAGEMENT, LLC notice-filed in CA, MD, NH, NJ, TX, VA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
73
August 2024 — THE PINES WEALTH MANAGEMENT, LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
95
April 2024 — THE PINES WEALTH MANAGEMENT, LLC (SOUTHERN PINES, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.