Miguel Ponce

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CRD#: 4901823

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Miguel Ponce JR., CFA, CFP®, who also goes by Miguel Ponce, Jr., was a registered financial professional .

Miguel is a previously registered financial professional and started their career in finance in 2005. Miguel had worked at 4 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Miguel Ponce, Jr.

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFA

Chartered Financial Analyst

CFP^®

Certified Financial Planner

Experience

Past

September 11, 2013 - August 31, 2016

COLONY FAMILY OFFICES, LLC

RIA

CRD#: 167017

CHARLOTTE, NC

Past

May 5, 2009 - September 11, 2013

GFO ADVISORY SERVICES, LLC

RIA

CRD#: 109278

CHARLOTTE, NC

Past

February 10, 2006 - January 7, 2008

CAROLINAS INVESTMENT CONSULTING LLC

RIA

CRD#: 104379

CHARLOTTE, NC

Past

February 10, 2006 - January 7, 2008

CAROLINAS INVESTMENT CONSULTING LLC

CRD#: 104379

CHARLOTTE, NC

Past

February 3, 2005 - August 16, 2005

BROWN BROTHERS HARRIMAN & CO.

CRD#: 104487

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

COLONY FAMILY OFFICES, LLC

CRD#: 167017 / SEC#: 801-77764

RIA

Registered Investment Advisory firm - (3/19/2013 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/29/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 2/2/2005

General Securities Representative Examination

Current Firm

COLONY FAMILY OFFICES, LLC

CRD#: 167017 / SEC#: 801-77764

RIA

Registered Investment Advisory firm - (3/19/2013 Approved)

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Contact information

Main Address

4250 Congress Street Suite 175, Charlotte, NC 28209

Mailing Address

Phone number

(704) 285-7300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COLONY ADV PART 2A (3/18/2025)

Regulatory assets under management

Total Number of Accounts	989
AUM (Assets Under Management)	$ 2,989,459,612

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/21/2025	Cover Page	Report
11/14/2024	Cover Page	Report
11/15/2023	Cover Page	Report
12/13/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Miguel Ponce

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COLONY FAMILY OFFICES, LLC

GFO ADVISORY SERVICES, LLC

CAROLINAS INVESTMENT CONSULTING LLC

CAROLINAS INVESTMENT CONSULTING LLC

BROWN BROTHERS HARRIMAN & CO.

Primary Firm SEC Registration

COLONY FAMILY OFFICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/29/2005

Series 7

Date: 2/2/2005

Current Firm

COLONY FAMILY OFFICES, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

COLONY FAMILY OFFICES, LLC

TRUST BUT VERIFY

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