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Paladin Certified

This advisor or firm is a vetted, documented member of the Paladin Registry.

Certified is Paladin’s highest level of due diligence for financial advisors and firms. Paladin has conducted background checks for the credentials and ethics that are documented in its Registry research reports.

Paladin provides free information services to investors who rely on planners and investment advisors to help them achieve their financial goals. Paladin is the only SEC registered firm that vets, validates, and documents the quality of financial professionals and firms (since 2003).
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Paladin Research Report For:

Ryan Mumy

Mumy Financial Advisors, LLC

Ryan Mumy, a financial fiduciary has been a Paladin Registry member since 2013. Ryan is the owner of Mumy Financial Advisors, LLC. Ryan holds the Accredited Investment Fiduciary , Certified Financial Planner certifications and has over 16 years of experience. Ryan provides financial services to clients in the Hickory, North Carolina area.

I. Snapshot

A. Registry Member
  • Since 2013
B. Years of Experience
  • 16
C. College Degrees
  • Lenoir Rhyne College - BA
D. Certifications
  • AIF®, CFP®
E. Financial Fiduciary
  • Yes
F. Business Philosophy
  • Read Business Philosophy

    Financial planning represents the major cornerstone of your future financial independence. Our financial planning philosophy is based on three core principles: holistic asset planning, tactical asset allocation, as well as consistent communication and reviews with our clients. Your financial plan is a living, breathing concept. As your life changes, so will your plan. Our process of regular, timely portfolio reviews keeps your financial plan consistent with your current & future needs.

G. Asset Requirement
  • $100,000

II. Contact Information

A. Key Contact
  • Ryan Mumy
B. Main Location
  • 200 First Avenue NW
    Suite 303
    Hickory, North Carolina, 28601
C. Telephone
  • 828.855.9400

III. Internet

A. Visit Website
B. Social Connections

IV. Firm(s)

A. Name of Firm
  • Mumy Financial Advisors, LLC
B. Relationship to Firm
  • Owner
C. Name of RIA
  • Capital Investment Advisory Services, LLC
D. Name of Broker/Dealer
  • Capital Investment Group, Inc
E. Name(s) of Custodian(s)
  • TD Ameritrade
  • Charles Schwab
  • Pershing

V. Credentials

A. Years of Financial Experience
  • 16 Years
B. College, Degrees, Years
  • Lenoir Rhyne College - BA
D. Association Memberships
  • None

VI. Registration, Licensing,
Compliance

A. RIA/IAR Registration
  • RIA and IAR
B. Type of RIA Registration
  • SEC
C. Industry Licenses
  • Securities License(s)
  • Insurance License(s)
D. Registration & License Numbers
  • CRD: 4673615
  • IARD: None
  • Insurance: None
E. State Licences
  • Financial Advice, Services for Fees: All 50 States
  • Investment Products for Commission: All 50 States
  • Insurance Products for Commission: See List
    • Colorado
    • Florida
    • Indiana
    • Kentucky
    • Maryland
    • Michigan
    • New York
    • North Carolina
    • Ohio
    • Oklahoma
    • Pennsylvania
    • South Carolina
    • Tennessee
F. Compliance Record (Investment)
  • No Disclosures
G. Compliance Record (Insurance)
  • No Disclosures
H. Criminal Disclosure(s)
  • None
I. Additional Disclosure(s)
  • Advisory services through Capital Investment Advisory Services, LLC. Securities May Be Offered Through Capital Investment Group, Inc., Member FINRA/SIPC
J. View our ADV(s)
K. Links

VII. Business Data & Practices

A. Business Philosophy
  • Read Business Philosophy

    Financial planning represents the major cornerstone of your future financial independence. Our financial planning philosophy is based on three core principles: holistic asset planning, tactical asset allocation, as well as consistent communication and reviews with our clients. Your financial plan is a living, breathing concept. As your life changes, so will your plan. Our process of regular, timely portfolio reviews keeps your financial plan consistent with your current & future needs.

B. Minimum Asset Requirement
  • $100,000
C. Number of Current Clients
  • 200
D. Assets (Management, Advisement)
  • $639,138,364
E. Methods of Compensation
  • Hourly Fee
  • Fixed Fee
  • Asset-Based Fee
F. Methods of Communication
  • Face-to-Face Meetings
  • Telephone
  • Email
  • Skype/Voice
  • Skype/Video-Voice
G. Types of Reports (Frequency)
  • Performance (Quarterly)
  • Brokerage Statement (Monthly)
  • Market Environment (Monthly)
  • Newsletters (Quarterly)
  • Other: Phone or In-Person review of plan & assets. Some clients prefer semi-annual and others monthly. Frequency is driven by client preference.
H. Second Language(s)
  • None
I. Value Statement
  • View Value Statement
    *We love what we do, have fun doing it and enjoy working closely with clients on a daily basis. *In-house asset management vs. using 'faceless' third parties that in many cases just add unnecessary expense to the client. *Produce own research & data *Host of "Your Financial Journey with Ryan Mumy" - Weekly Radio Show on 1290am WHKY *Past appearances on CNBC as well as multiple industry publications. *Some of the best technology in the industry to allow for a robust client experience.

VIII. Clients & Services

A. Types of Clients
  • Business Pension Plans
  • Other: I lead our RIA's Third Party Money Management service with our in-house economist and other team members. We also offer Outsourced Chief Investment Officer services to family offices, pensions, endowments, corporations, & other institutions.
  • Business (Taxable)
  • Endowments & Foundations
  • Taft-Hartley Pension Plans
  • Public Pension Plans
B. Types of Financial Services
  • Planning Advice & Services
  • Investment Advice & Services
C. Discretionary Asset Management
  • Discretionary and Non-Discretionary
D. Limited Engagement Services
  • Planning Only
  • Financial Plan Reviews
  • Investment Portfolio Reviews
  • Mumy Financial has a CPA firm & Estate Attorney located within our office to provide expert advice on all Tax, Estate, & Legal related matters.

IX. Certification

Advisor Name
  • Ryan Mumy
Most Recent Update:
  • Jun 2, 2020

BASIC INFORMATION NEEDED FOR THE INQUIRY

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