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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

TOWNSEND ASSET MANAGEMENT CORP.

CRD 108216

RALEIGH, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:13ae27e7-aecc-53d1-ee0d-0cdf6f8921ce

Data as of Feb 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 3
On other graphs: 0
Observed: Feb 24, 2012 to Feb 27, 2026
24 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $480MItem 5.F on the latest filing (2026-02-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $465M
Private client RAUM: $474MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $160Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 7
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,130
Individual clients: 264
High net worth clients: 118
Custody, client assets: $205M
SEC number: 801-18013
CRD: 108216
Filings on the tape: 24
First filed: Feb 24, 2012
Latest filed: Feb 27, 2026
Organised: Corporation, NC
Website: northcarolinawealthmanagers.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
CALEB ROBERT GRIFFITH	Certified Financial Planner	RALEIGH, NC	14	20	n/a	no
ARNE W MORRIS	n/a	RALEIGH, NC	9	27	1	no
JAMES MICHAEL TARKENTON	Chartered Financial Analyst	RALEIGH, NC	7	18	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
GRIFFITH, CALEB, ROBERT	CHIEF COMPLIANCE OFFICER	Na	yes	11/2019	Nov 19, 2019	Mar 15, 2024
MORRIS, ARNE, W	Secretary	C	yes	04/2020	Mar 23, 2021	Mar 15, 2024
TARKENTON, JAMES, MICHAEL	President	D	yes	04/2020	Mar 23, 2021	Mar 15, 2024
TOWNSEND, GERALD, ALAN	Ceo	A	yes	10/1982	Feb 24, 2012	Mar 15, 2024
TOWNSEND, KATRINA, LEE	Owner	B	yes	10/1982	Feb 24, 2012	Mar 15, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 27, 2026	$480M	$465M	7	4	0	n/a	n/a
2024	Mar 11, 2025	$446M	$428M	8	4	0	n/a	n/a
2023	Mar 4, 2024	$401M	$359M	8	5	0	n/a	n/a
2022	Mar 14, 2023	$346M	$307M	10	5	0	n/a	n/a
2021	Mar 24, 2022	$367M	$351M	8	5	0	n/a	n/a
2020	Mar 23, 2021	$300M	$285M	7	5	0	n/a	n/a
2019	Mar 19, 2020	$263M	$251M	8	5	0	n/a	n/a
2018	Mar 11, 2019	$257M	$250M	9	6	1	n/a	n/a
2017	Jan 30, 2018	$211M	$202M	8	5	1	n/a	n/a
2016	Mar 23, 2017	$184M	$177M	7	5	n/a	n/a	n/a
2015	Feb 25, 2016	$133M	$129M	6	3	n/a	n/a	n/a
2014	Feb 27, 2015	$135M	$128M	6	3	n/a	n/a	n/a
2013	Mar 5, 2014	$116M	$116M	5	4	n/a	n/a	n/a
2012	Feb 7, 2013	$102M	$102M	6	5	n/a	n/a	n/a
2011	Feb 24, 2012	$97.2M	$97.2M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$480M	$446M	7.6%	$346M	11.5%	7	8	0	0

Relationships

Registered with (6)

← JAMES MICHAEL TARKENTONAdvisorregistration: current employment
Nov 27, 2018 to presentfactForm ADV
← ARNE W MORRISAdvisorregistration: current employment
Jul 26, 2017 to presentfactForm ADV
← CALEB ROBERT GRIFFITHAdvisorregistration: current employment
Feb 21, 2012 to presentfactForm ADV
← JAMES PATRICK KNIFFENAdvisorregistration: previous registration
Jul 26, 2017 to May 15, 2019factForm ADV
← JASON WILLIAM CARTERAdvisorregistration: previous registration
Feb 23, 2012 to Jan 15, 2014factForm ADV
← NATHAN ROSS HYMILLERAdvisorregistration: previous registration
Jun 10, 2002 to Dec 3, 2004factForm ADV

Controls (5)

← TOWNSEND, GERALD, ALANOwnerCEO, ownership code A, individual
Feb 24, 2012 to Mar 15, 2024factForm ADV
← TOWNSEND, KATRINA, LEEOwnerOWNER, ownership code B, individual
Feb 24, 2012 to Mar 15, 2024factForm ADV
← MORRIS, ARNE, WOwnerSECRETARY, ownership code C, individual
Mar 23, 2021 to Mar 15, 2024factForm ADV
← TARKENTON, JAMES, MICHAELOwnerPRESIDENT, ownership code D, individual
Mar 23, 2021 to Mar 15, 2024factForm ADV
← GRIFFITH, CALEB, ROBERTOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 19, 2019 to Mar 15, 2024factForm ADV

Dated events

Occurred
Mar 23, 2021
Control person joined
Michael James Tarkenton (Portfolio Manager) appeared on Schedule A of Townsend Asset Management Corp.
Form ADVobserved 4 days ago
Occurred
Nov 19, 2019
Control person left
Lawrence Michael Solomon (Tax Advisor, Chief Compliance Officer, And Chief Technology Officer) no longer on Schedule A of Townsend Asset Management Corp. (listed 2019-03-11, absent 2019-11-19)
Form ADVobserved 4 days ago
Occurred
Nov 19, 2019
Control person joined
Robert Caleb Griffith (Chief Compliance Officer) appeared on Schedule A of Townsend Asset Management Corp.
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:13ae27e7-aecc-53d1-ee0d-0cdf6f8921ce
First observed: Feb 24, 2012
Last observed: Feb 27, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

TOWNSEND ASSET MANAGEMENT CORP.

CRD 108216

RALEIGH, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:13ae27e7-aecc-53d1-ee0d-0cdf6f8921ce

Data as of Feb 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:13 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

CALEB ROBERT GRIFFITH

Certified Financial Planner

RALEIGH, NC

n/a

ARNE W MORRIS

n/a

RALEIGH, NC

JAMES MICHAEL TARKENTON

Chartered Financial Analyst

RALEIGH, NC

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GRIFFITH, CALEB, ROBERT

CHIEF COMPLIANCE OFFICER

yes

11/2019

Nov 19, 2019

Mar 15, 2024

MORRIS, ARNE, W

Secretary

yes

04/2020

Mar 23, 2021

Mar 15, 2024

TARKENTON, JAMES, MICHAEL

President

yes

04/2020

Mar 23, 2021

Mar 15, 2024

TOWNSEND, GERALD, ALAN

Ceo

yes

10/1982

Feb 24, 2012

Mar 15, 2024

TOWNSEND, KATRINA, LEE

Owner

yes

10/1982

Feb 24, 2012

Mar 15, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 27, 2026

$480M

$465M

n/a

2024

Mar 11, 2025

$446M

$428M

n/a

2023

Mar 4, 2024

$401M

$359M

n/a

2022

Mar 14, 2023

$346M

$307M

n/a

2021

Mar 24, 2022

$367M

$351M

n/a

2020

Mar 23, 2021

$300M

$285M

n/a

2019

Mar 19, 2020

$263M

$251M

n/a

2018

Mar 11, 2019

$257M

$250M

n/a

2017

Jan 30, 2018

$211M

$202M

n/a

2016

Mar 23, 2017

$184M

$177M

n/a

2015

Feb 25, 2016

$133M

$129M

n/a

2014

Feb 27, 2015

$135M

$128M

n/a

2013

Mar 5, 2014

$116M

n/a

2012

Feb 7, 2013

$102M

n/a

2011

Feb 24, 2012

$97.2M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$480M

$446M

7.6%

$346M

11.5%