DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Raleigh Capital Management Inc.
Latest filing Jun 16, 2026
First filing on the tape Jun 17, 2021 · 14 filings
SEC status approved since Jul 16, 2021
RAUM
$398M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$390M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$33.1M
derived; firm RAUM over IAPD count
Employees
20
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$398M as of Jun 16, 2026
Mar 18, 2022$206M then
HNW client RAUM$244M as of Jun 16, 2026
Mar 18, 2022$126M then
State-registered IARs (5.B.3)12 as of Jun 16, 2026
Mar 18, 20226 then
Employees (5.A)20 as of Jun 16, 2026
Mar 18, 202210 then
Private funds: no history
RAUM +24% over the last fiscal year+17% a year over threeIARs 11 to 12offices 1 to 0
Practice profile
derived from the filing of Jun 16, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $33.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $173,474derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 12.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +9.1%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +26%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $25.2M, 57 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$244M61%
- Individuals$146M37%
- Pension and profit-sharing plans$7.8M2.0%
- Corporations and businesses$47,2300.0%
- Individual clients
- 320reported
- HNW clients
- 123reported
- Pension plan clients
- 27reported
- Charitable clients
- n/areported
- Accounts
- 2,293reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $25.2M for 57 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=6.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Brian Richard Raleigh | Cary, Nc | Jun 15, 2012 | 28 y | 4 |
| Joseph Reading Mcleod | Cary, Nc | Jun 14, 2017 | 11 y | 0 |
| Mikayla Elizabeth RaleighCertified Financial Planner | Cary, Nc | Oct 2, 2019 | 13 y | 0 |
| Jeremy Michael Baltz | Cary, Nc | Mar 4, 2021 | 13 y | 0 |
| Nicholas Christian Deberardino | Cary, Nc | Jun 12, 2024 | 11 y | 0 |
| George Dylan PhippsCertified Financial Planner | Cary, Nc | Jul 4, 2024 | 10 y | 4 |
| Shaelyn Rose Raleigh | Cary, Nc | Nov 15, 2024 | 12 y | 0 |
| Jack William Henry Raleigh | Cary, Nc | Feb 12, 2025 | 13 y | 0 |
| Jack Edward Erickson | Cary, Nc | Apr 15, 2025 | 11 y | 1 |
| Nicholas J Beglane | Cary, Nc | Jan 8, 2026 | 10 y | 2 |
| Brent James Godwin | Cary, Nc | Mar 6, 2026 | 10 y | 3 |
| Josiah James FrostCertified Financial Planner | Cary, Nc | Mar 18, 2026 | 13 y | 1 |
Advisor movement
1 left, 4 joined in 12 months
net +3 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 8.3% of current headcount2 left over 36 months
Left, latest
- Jacob Thomas Niles to Empower Advisory Group, LLCMar 20, 2026 · RIA to affiliated broker-dealer or bank
- Charles Vance Brantley to Bankers Life Advisory Services, Inc.Feb 20, 2025 · RIA to affiliated broker-dealer or bank
- Zachary Nicholas Payne to Fidelity Personal And Workplace AdvisorsOct 5, 2022 · RIA to affiliated broker-dealer or bank
- Kevin Craig Cochran to Hunter Street Investment Advisors LLCOct 1, 2019 · RIA to RIA
- Travis Dayne Tracy to Sycamore Financial Planning, LLCJul 23, 2018 · RIA to a state-registered adviser
Joined, latest
- Josiah James Frost from Janney Montgomery Scott LLCMar 18, 2026 · Affiliated broker-dealer or bank to independent RIA
- Brent James Godwin from Redhawk Wealth Advisors, Inc.Mar 6, 2026 · RIA to RIA
- Jacob Thomas Niles from Strategic Advisers LLCJan 9, 2026 · Affiliated broker-dealer or bank to independent RIA
- Nicholas J Beglane from Strategic Advisers LLCJan 8, 2026 · Affiliated broker-dealer or bank to independent RIA
- Jack Edward Erickson from Ameriprise Financial Services, LLCApr 15, 2025 · Affiliated broker-dealer or bank to independent RIA
- Charles Vance Brantley from Morgan StanleySep 16, 2024 · Wirehouse to independent RIA
- George Dylan Phipps from Cetera Investment Advisers LLCJul 4, 2024 · Affiliated broker-dealer or bank to independent RIA
- Travis Dayne Tracy from Creativeone Wealth, LLCApr 9, 2018 · Other
- Kevin Craig Cochran from Verity Asset ManagementJun 10, 2017 · Other
- Brian Richard Raleigh from Financial West GroupJun 15, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Richard Brian Raleigh · President / Ceo / Chief Compliance Officercontrolsince 01/2009 · owns 75% or more
Related persons
Schedule D 7.A
- Raleigh Wealth Solutions Inc.real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cary, Nc · principal | 12 | 3 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,628 to 2,293May 14, 2025 to Feb 20, 2026
- Advisory employees · 11 to 12May 14, 2025 to Feb 20, 2026
- BD registered reps · 5 to 6May 14, 2025 to Feb 20, 2026
- Corporate clients · 9.0 to unsetMay 14, 2025 to Feb 20, 2026
- HNW clients · 89 to 123May 14, 2025 to Feb 20, 2026
- Individual clients · 262 to 320May 14, 2025 to Feb 20, 2026
- Pension plan clients · 45 to 27May 14, 2025 to Feb 20, 2026
- Assets in custody · $23.3M to $25.2MMay 14, 2025 to Feb 20, 2026
- State-registered IARs · 11 to 12May 14, 2025 to Feb 20, 2026
- Other offices · 1 to 0May 14, 2025 to Feb 20, 2026
- Discretionary RAUM · $321M to $398MMay 14, 2025 to Feb 20, 2026
- HNW RAUM · $185M to $244MMay 14, 2025 to Feb 20, 2026
- Individual RAUM · $109M to $146MMay 14, 2025 to Feb 20, 2026
- Pension RAUM · $22.3M to $7.8MMay 14, 2025 to Feb 20, 2026
- RAUM · $321M to $398MMay 14, 2025 to Feb 20, 2026
- Financial planning clients · 0 to 0Mar 13, 2025 to May 14, 2025
- Accounts · 1,406 to 1,628Feb 14, 2025 to Mar 13, 2025
- Advisory employees · 8 to 11Feb 14, 2025 to Mar 13, 2025
- BD registered reps · 1 to 5Feb 14, 2025 to Mar 13, 2025
- Corporate clients · 11 to 9Feb 14, 2025 to Mar 13, 2025
- HNW clients · 49 to 89Feb 14, 2025 to Mar 13, 2025
- Individual clients · 289 to 262Feb 14, 2025 to Mar 13, 2025
- Pension plan clients · 36 to 45Feb 14, 2025 to Mar 13, 2025
- Assets in custody · $18.8M to $23.3MFeb 14, 2025 to Mar 13, 2025
- Employees · 16 to 20Feb 14, 2025 to Mar 13, 2025
- State-registered IARs · 8 to 11Feb 14, 2025 to Mar 13, 2025
- Other offices · 0 to 1Feb 14, 2025 to Mar 13, 2025
- Discretionary RAUM · $263M to $321MFeb 14, 2025 to Mar 13, 2025
- HNW RAUM · $95.8M to $185MFeb 14, 2025 to Mar 13, 2025
- Individual RAUM · $149M to $109MFeb 14, 2025 to Mar 13, 2025
- Pension RAUM · $15.8M to $22.3MFeb 14, 2025 to Mar 13, 2025
- RAUM · $263M to $321MFeb 14, 2025 to Mar 13, 2025
- Accounts · 1,346 to 1,406Mar 20, 2023 to Mar 1, 2024
- Advisory employees · 5 to 8Mar 20, 2023 to Mar 1, 2024
- Corporate clients · 8 to 11Mar 20, 2023 to Mar 1, 2024
- HNW clients · 33 to 49Mar 20, 2023 to Mar 1, 2024
- Individual clients · 329 to 289Mar 20, 2023 to Mar 1, 2024
- Pension plan clients · unset to 36.0Mar 20, 2023 to Mar 1, 2024
- Assets in custody · $19.1M to $18.8MMar 20, 2023 to Mar 1, 2024
- Employees · 11 to 16Mar 20, 2023 to Mar 1, 2024
Signals
4 dated events
- Jacob Thomas Niles left Raleigh Capital Management Inc. for Empower Advisory Group, Llc (registered 2026-05-05)Mar 20, 2026 · Advisor changed firm · fact
- Charles Vance Brantley left Raleigh Capital Management Inc. for Bankers Life Advisory Services, Inc. (registered 2026-02-10)Feb 20, 2025 · Advisor changed firm · fact
- Zachary Nicholas Payne left Raleigh Capital Management Inc. for Fidelity Personal And Workplace Advisors (registered 2022-12-05)Oct 5, 2022 · Advisor changed firm · fact
- Raleigh Capital Management Inc. filed its initial SEC registration (Form ADV)Jun 17, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- first@raleighwealthsolutions.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 919-852-1215reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 919-852-1218reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/raleighwealthsolutionsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- raleighwealthsolutions.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 919-852-1215reportedpublic record, Form ADV, Jun 16, 2026
- Team page
- raleighwealthsolutions.com/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $33.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026