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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

UWHARRIE INVESTMENT ADVISORS, INC.

CRD 117592

ALBEMARLE, 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:e8fedce6-10ca-a599-2d12-3c7d19b24eae

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 34
Dated events: 3
On other graphs: 2
Observed: Mar 28, 2012 to Mar 30, 2026
40 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Uwharrie Investment Advisors, Inc.

Private equity manager · shared crd

Private Creditidentity

UWHARRIE INVESTMENT ADVISORS, INC.

Private credit manager · shared crd

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.86 fund_share=0.0 institutional_share=0.1 related_bd=true related_bank=false bd_reps=14.0
Regulatory AUM: $338MItem 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $338M
Private client RAUM: $290MderivedItem 5.D individuals plus high net worth individuals
Private client share: 86%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 15
RAUM per advisor: $22.5Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 14
Advisory employees: 12
Offices: 4Schedule D 1.F, beyond the principal office
Accounts: 877
Individual clients: 609
High net worth clients: 228
Custody, client assets: $13.5M
SEC number: 801-63767
CRD: 117592
Filings on the tape: 40
First filed: Mar 28, 2012
Latest filed: Mar 30, 2026
Organised: Corporation, NC
Website: uwharrie.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
ROGER LEE DICK	n/a	ALBEMARLE, NC	24	43	n/a	yes
CHRISTY DAVIS STONER	n/a	ALBEMARLE, NC	24	35	n/a	yes
MISTY WHITLEY THORNBURG	n/a	ALBEMARLE, NC	24	25	n/a	yes
MICHAEL GLENN HARWOOD	n/a	ALBEMARLE, NC \| LOCUST, NC	22	24	n/a	yes
DAVID C. GASKIN	Chartered Financial Consultant	ALBEMARLE, NC	21	25	1	yes
JOANNE B BURLESON	n/a	ALBEMARLE, NC	16	17	n/a	yes
ROBERT BUGG BRANNAN	n/a	CONCORD, NC \| ALBEMARLE, NC	14	18	n/a	yes
KYLE VANN EUDY	Certified Financial Planner	ALBEMARLE, NC	13	18	1	yes
JENNIFER BROYHILL MOREHEAD	n/a	ALBEMARLE, NC	11	12	n/a	yes
BROOKE LATON SENTER	n/a	ALBEMARLE, NC	7	24	2	yes
KELLY BROOKS SMITH	n/a	ALBEMARLE, NC	5	13	n/a	yes
Carl Webster Grubb	n/a	ALBEMARLE, NC	4	11	n/a	yes
VELINDA FINK BOST	n/a	ALBEMARLE, NC	1	20	4	yes
Thomas Eugene Wall	n/a	ALBEMARLE, NC	0	11	1	yes
Bryson Young Childress	n/a	ALBEMARLE, NC	0	10	n/a	yes

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
UWHARRIE LOAN POOL I, LLC	Private Equity Fund	$1.3M	Mar 28, 2013	6	Mar 28, 2012	dropped	021-1360103

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
DICK, ROGER, LEE	INVESTMENT COMMITTEE	Na	yes	02/1996	Mar 28, 2012	Oct 11, 2024
EUDY, KYLE, VANN	EXECUTIVE VICE PRESIDENT	Na	yes	06/2021	Mar 3, 2022	Oct 11, 2024
GASKIN, DAVID, C.	EXECUTIVE VICE PRESIDENT	Na	yes	04/2012	Mar 16, 2018	Oct 11, 2024
MISENHEIMER, LORELEI, VIRGINIA	EXECUTIVE VICE PRESIDENT	Na	yes	04/2005	Mar 28, 2012	Oct 11, 2024
STONER, CHRISTY, DAVIS	CEO/IC/DIRECTOR	Na	yes	02/1991	Mar 28, 2012	Oct 11, 2024
THORNBURG, MISTY, WHITLEY	SENIOR VP/OPERATIONS & DATA MANAGER/IC/CCO	Na	yes	06/2005	Mar 28, 2012	Oct 11, 2024
UWHARRIE CAPITAL CORP	100% OWNER	E	yes	03/1999	Mar 28, 2012	Oct 11, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
BOS AGENCY INC.	n/a	n/a	n/a	N	yes	n/a
THE STRATEGIC ALLIANCE CORPORATION	n/a	n/a	n/a	N	yes	n/a
UWHARRIE BANK	n/a	n/a	n/a	N	yes	n/a
UWHARRIE CAPITAL CORP	n/a	n/a	n/a	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Asheboro	Nc	United States	2	yes
Concord	Nc	United States	2	yes
Charlotte	Nc	United States	1	yes
Locust	Nc	United States	1	yes

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	Mar 30, 2026	$338M	$338M	14	12	4	n/a	n/a
2024	Apr 23, 2025	$278M	$278M	16	15	4	n/a	n/a
2023	Mar 21, 2024	$225M	$225M	17	17	4	n/a	n/a
2022	Feb 22, 2023	$189M	$189M	17	17	4	n/a	n/a
2021	Mar 3, 2022	$216M	$216M	16	16	4	n/a	n/a
2020	Mar 2, 2021	$177M	$177M	15	15	4	n/a	n/a
2019	Jan 28, 2020	$175M	$175M	15	15	4	n/a	n/a
2018	Mar 18, 2019	$137M	$137M	15	15	4	n/a	n/a
2017	Mar 16, 2018	$129M	$129M	14	14	4	n/a	n/a
2016	Mar 24, 2017	$120M	$120M	14	14	n/a	n/a	n/a
2015	Mar 31, 2016	$144M	$144M	14	14	n/a	n/a	n/a
2014	Mar 30, 2015	$149M	$149M	15	15	n/a	n/a	n/a
2013	Mar 31, 2014	$144M	$144M	13	13	n/a	n/a	n/a
2012	Mar 28, 2013	$131M	$131M	14	14	n/a	1	$1.3M
2011	Mar 28, 2012	$118M	$118M	n/a	n/a	n/a	1	$2.2M

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
1	0	1	0.0%	0	0	0	2	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	$338M	$278M	21.4%	$189M	21.3%	14	16	4	4

Relationships

Registered with (25)

← Bryson Young ChildressAdvisorregistration: current employment
Mar 23, 2026 to presentfactForm ADV
← Thomas Eugene WallAdvisorregistration: current employment
Nov 4, 2025 to presentfactForm ADV
← VELINDA FINK BOSTAdvisorregistration: current employment
May 16, 2025 to presentfactForm ADV
← Carl Webster GrubbAdvisorregistration: current employment
Jan 14, 2022 to presentfactForm ADV
← KELLY BROOKS SMITHAdvisorregistration: current employment
Nov 20, 2020 to presentfactForm ADV
← BROOKE LATON SENTERAdvisorregistration: previous registration
Dec 8, 2005 to May 18, 2017factForm ADV
← JENNIFER BROYHILL MOREHEADAdvisorregistration: current employment
Mar 16, 2015 to presentfactForm ADV
← KYLE VANN EUDYAdvisorregistration: current employment
Nov 16, 2012 to presentfactForm ADV
← ROBERT BUGG BRANNANAdvisorregistration: current employment
Jul 17, 2012 to presentfactForm ADV
← JOANNE B BURLESONAdvisorregistration: current employment
May 20, 2010 to presentfactForm ADV
← DAVID C. GASKINAdvisorregistration: current employment
Mar 8, 2005 to presentfactForm ADV
← MICHAEL GLENN HARWOODAdvisorregistration: current employment
Jan 5, 2004 to presentfactForm ADV
← ROGER LEE DICKAdvisorregistration: current employment
Dec 31, 2001 to presentfactForm ADV
← CHRISTY DAVIS STONERAdvisorregistration: current employment
Dec 31, 2001 to presentfactForm ADV
← MISTY WHITLEY THORNBURGAdvisorregistration: current employment
Dec 31, 2001 to presentfactForm ADV
← Andrea D GutierrezAdvisorregistration: previous registration
Dec 6, 2022 to May 18, 2023factForm ADV
← DANIEL JACKSONAdvisorregistration: previous registration
Jul 19, 2017 to Jul 6, 2021factForm ADV
← ROY LEONARD MATTOXAdvisorregistration: previous registration
Nov 26, 2018 to May 5, 2020factForm ADV
← WADE HAMPTON LOVEAdvisorregistration: previous registration
Nov 3, 2015 to Oct 28, 2019factForm ADV
← Jaren Scott KiserAdvisorregistration: previous registration
Jul 15, 2016 to Jan 17, 2019factForm ADV
← WARTNER ELSA EDITHAdvisorregistration: previous registration
Jul 4, 2012 to Nov 16, 2016factForm ADV
← JEFFREY MICHAEL TALLEYAdvisorregistration: previous registration
Dec 31, 2001 to Jul 29, 2016factForm ADV
← DONNA LEE PLEASANTAdvisorregistration: previous registration
Jul 6, 2005 to Sep 1, 2010factForm ADV
← Jonathan Warner DryAdvisorregistration: previous registration
Nov 5, 2003 to Jul 7, 2005factForm ADV
← DUANE MICHAEL HIRSCHAdvisorregistration: previous registration
Dec 10, 2002 to Oct 31, 2003factForm ADV

Controls (7)

← DICK, ROGER, LEEOwnerINVESTMENT COMMITTEE, ownership code NA, individual
Mar 28, 2012 to Oct 11, 2024factForm ADV
← STONER, CHRISTY, DAVISOwnerCEO/IC/DIRECTOR, ownership code NA, individual
Mar 28, 2012 to Oct 11, 2024factForm ADV
← MISENHEIMER, LORELEI, VIRGINIAOwnerEXECUTIVE VICE PRESIDENT, ownership code NA, individual
Mar 28, 2012 to Oct 11, 2024factForm ADV
← THORNBURG, MISTY, WHITLEYOwnerSENIOR VP/OPERATIONS & DATA MANAGER/IC/CCO, ownership code NA, individual
Mar 28, 2012 to Oct 11, 2024factForm ADV
← GASKIN, DAVID, C.OwnerEXECUTIVE VICE PRESIDENT, ownership code NA, individual
Mar 16, 2018 to Oct 11, 2024factForm ADV
← EUDY, KYLE, VANNOwnerEXECUTIVE VICE PRESIDENT, ownership code NA, individual
Mar 3, 2022 to Oct 11, 2024factForm ADV
← UWHARRIE CAPITAL CORPOwner100% OWNER, ownership code E, domestic entity
Mar 28, 2012 to Oct 11, 2024factForm ADV

Advises (1)

→ UWHARRIE LOAN POOL I, LLCPrivate fundPrivate Equity Fund, IA, no longer reported
Mar 28, 2012 to Mar 28, 2013factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
May 18, 2023
Advisor changed firm
Andrea D Gutierrez left Uwharrie Investment Advisors, Inc. for Pnc Wealth Management (registered 2023-05-22)
Form ADVobserved 3 days ago
Occurred
Mar 3, 2022
Control person joined
Vann Kyle Eudy (Executive Vice President) appeared on Schedule A of Uwharrie Investment Advisors, Inc.
Form ADVobserved 3 days ago

Show 1 bookkeeping events

Occurred
Jan 28, 2020
Uwharrie Investment Advisors, Inc. reported 15 state-registered advisory representatives, up from 2 (2019-07-01 to 2020-01-28)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e8fedce6-10ca-a599-2d12-3c7d19b24eae
First observed: Mar 28, 2012
Last observed: Mar 30, 2026 5 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.

UWHARRIE INVESTMENT ADVISORS, INC.

CRD 117592

ALBEMARLE, 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:e8fedce6-10ca-a599-2d12-3c7d19b24eae

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:07 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ROGER LEE DICK

n/a

ALBEMARLE, NC

n/a

yes

CHRISTY DAVIS STONER

n/a

ALBEMARLE, NC

n/a

yes

MISTY WHITLEY THORNBURG

n/a

ALBEMARLE, NC

n/a

yes

MICHAEL GLENN HARWOOD

n/a

ALBEMARLE, NC | LOCUST, NC

n/a

yes

DAVID C. GASKIN

Chartered Financial Consultant

ALBEMARLE, NC

yes

JOANNE B BURLESON

n/a

ALBEMARLE, NC

n/a

yes

ROBERT BUGG BRANNAN

n/a

CONCORD, NC | ALBEMARLE, NC

n/a

yes

KYLE VANN EUDY

Certified Financial Planner

ALBEMARLE, NC

yes

JENNIFER BROYHILL MOREHEAD

n/a

ALBEMARLE, NC

n/a

yes

BROOKE LATON SENTER

n/a

ALBEMARLE, NC

yes

KELLY BROOKS SMITH

n/a

ALBEMARLE, NC

n/a

yes

Carl Webster Grubb

n/a

ALBEMARLE, NC

n/a

yes

VELINDA FINK BOST

n/a

ALBEMARLE, NC

yes

Thomas Eugene Wall

n/a

ALBEMARLE, NC

yes

Bryson Young Childress

n/a

ALBEMARLE, NC

n/a

yes

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

UWHARRIE LOAN POOL I, LLC

Private Equity Fund

$1.3M

Mar 28, 2013

Mar 28, 2012

dropped

021-1360103

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DICK, ROGER, LEE

INVESTMENT COMMITTEE

yes

02/1996

Mar 28, 2012

Oct 11, 2024

EUDY, KYLE, VANN

EXECUTIVE VICE PRESIDENT

yes

06/2021

Mar 3, 2022

Oct 11, 2024

GASKIN, DAVID, C.

EXECUTIVE VICE PRESIDENT

yes

04/2012

Mar 16, 2018

Oct 11, 2024

MISENHEIMER, LORELEI, VIRGINIA

EXECUTIVE VICE PRESIDENT

yes

04/2005

Mar 28, 2012

Oct 11, 2024

STONER, CHRISTY, DAVIS

CEO/IC/DIRECTOR

yes

02/1991

Mar 28, 2012

Oct 11, 2024

THORNBURG, MISTY, WHITLEY

SENIOR VP/OPERATIONS & DATA MANAGER/IC/CCO

yes

06/2005

Mar 28, 2012

Oct 11, 2024

UWHARRIE CAPITAL CORP

100% OWNER

yes

03/1999

Mar 28, 2012

Oct 11, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BOS AGENCY INC.

n/a

yes

n/a

THE STRATEGIC ALLIANCE CORPORATION

n/a

yes

n/a

UWHARRIE BANK

n/a

yes

n/a

UWHARRIE CAPITAL CORP

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Asheboro

United States

yes

Concord

United States

yes

Charlotte

United States

yes

Locust

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$338M

n/a

2024

Apr 23, 2025

$278M

n/a

2023

Mar 21, 2024

$225M

n/a

2022

Feb 22, 2023

$189M

n/a

2021

Mar 3, 2022

$216M

n/a

2020

Mar 2, 2021

$177M

n/a

2019

Jan 28, 2020

$175M

n/a

2018

Mar 18, 2019

$137M

n/a

2017

Mar 16, 2018

$129M

n/a

2016

Mar 24, 2017

$120M

n/a

2015

Mar 31, 2016

$144M

n/a

2014

Mar 30, 2015

$149M

n/a

2013

Mar 31, 2014

$144M

n/a

2012

Mar 28, 2013

$131M

n/a

$1.3M

2011

Mar 28, 2012

$118M

n/a

$2.2M

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

$338M

$278M

21.4%

$189M

21.3%