William Boroughs Ertel

Employer firm

Tassel Capital Management, Inc CRD 121112

$266M regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting

From the firm’s Form ADV. Read the guides:

Current Employers

Tassel Capital Management, Inc

1220 Mann Drive Suite 100, Matthews, NC 28105 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2002-06-24

NC RA
APPROVED

Since 2002-06-24

Branch Locations

1220 Mann Drive Suite 100, Matthews, NC 28105 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Tassel Capital Management Inc	Matthews	NC	08/2002	Present

08/2002 → Present

Tassel Capital Management Inc

Matthews, NC

Previous Registrations

2001-12-31 → 2002-08-23

Ronald Blue & Co., Llc

Charlotte, NC

Other Businesses

I AM A 7% OWNER IN ERTEL FAMILY FARMS, INC., AN INDIANA CORPORATION, WHICH INCORPORATED IN 2002. I AM NOT ACTIVELY INVOLVED IN THE BUSINESS AND SPEND ONE HOUR ANNUALLY SIGNING FORMS. THE CORPORATION IS NOT INVESTMENT RELATED. 100% OWNER OF HLE PROPERTIES, LLC THAT OWNS AN OFFICE CONDO AND RENTS IT TO TASSEL CAPITAL IN MATTHEWS, NC. SPEND 1 HOUR A MONTH ON ADMINISTRATIVE DUTIES OUTSIDE OF TRADING HOURS. TASSEL CAPITAL IS ONLY TENANT. BUSINESS IS NOT INVESTMENT RELATED.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-05-05

S65 Uniform Investment Adviser Law Examination

1998-05-05

Designations

Certified Financial Planner
Personal Financial Specialist

Other Names

William Boroughs Ertel

View on SEC IAPD