DFX Intelligence
Firms
SEC-registered investment advisers
One row per CRD, from the adviser’s latest Form ADV. The class is a rule over Item 5.D (where the RAUM sits) and Item 7.A (related broker-dealer or bank); the wirehouses and national broker-dealers are a short curated list. Advisors is the count of representatives IAPD registers through the firm today, which is not the same as the firm’s own Item 5.B answer.
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Ally Invest Advisors CRD 170301 | Charlotte, NC | independent RIA | $1.7B | 100% | 83 | $20.8M | 2 | 0 |
| Delegate Advisors, LLC CRD 159953 | Chapel Hill, NC | independent RIA | $1.7B | 82% | 1 | $1.7B | 2 | 1 |
| Fc Capital Management LLC CRD 161220 | Charlotte, NC | asset manager | $1.6B | 0.0% | 0 | n/a | 0 | 7 |
| F•••••••• S••••••• I••• CRD 118443 | Raleigh, NC | independent RIA | $1.5B | 100% | 15 | $103M | 0 | 0 |
| M••• C•••••• M••••••••• L•• CRD 312798 | Concord, NC | independent RIA | $1.5B | 52% | 4 | $373M | 0 | 0 |
| F••• P••••• C•••••• L•• CRD 160792 | Winston-Salem, NC | asset manager | $1.4B | 0.0% | 0 | n/a | 3 | 14 |
| O•• C••• I••••••••• C••••••••• CRD 162220 | Wake Forest, NC | institutional | $1.4B | 1.4% | 3 | $477M | 0 | 0 |
| I•••••••• A•••• A•••••••• L•• CRD 161683 | Rocky Mount, NC | independent RIA | $1.4B | 97% | 3 | $475M | 0 | 0 |
| M•• A••••••• CRD 305176 | Charlotte, NC | independent RIA | $1.4B | 100% | 10 | $142M | 0 | 0 |
| B•••••••• F•••••••• A••••••• CRD 315570 | Charlotte, NC | independent RIA | $1.4B | 97% | 37 | $38.2M | 21 | 0 |
| C••••• C•••••• M••••••••• CRD 168693 | Charlotte, NC | asset manager | $1.4B | 0.0% | 0 | n/a | 1 | 17 |
| C••••• C•••••• M••••••••• L•• CRD 338387 | Charlotte, NC | asset manager | $1.4B | 0.0% | 0 | n/a | 1 | 15 |
| G•••••••• C••••••• I••• CRD 126679 | Greensboro, NC | mixed wealth | $1.4B | 44% | 5 | $275M | 0 | 7 |
| S••••• S•••• W••••• M••••••••• CRD 105710 | Winston Salem, NC | independent RIA | $1.4B | 91% | 10 | $137M | 2 | 0 |
| L••• O•• P•••••• W•••••• L•• CRD 297904 | Wilmington, NC | independent RIA | $1.3B | 96% | 10 | $132M | 1 | 0 |
| T•••••• W••••• M••••••••• L•• CRD 331098 | Charlotte, NC | independent RIA | $1.3B | 95% | 4 | $327M | 2 | 0 |
| T••••••• W••••• M••••••••• CRD 148156 | Raleigh, NC | independent RIA | $1.3B | 98% | 10 | $129M | 0 | 0 |
| A•••• I••••••••• A••••••• CRD 111077 | Winston Salem, NC | independent RIA | $1.3B | 97% | 5 | $258M | 0 | 0 |
| W••••••••• P•••••••• L•• CRD 169584 | Cary, NC | independent RIA | $1.3B | 97% | 0 | n/a | 9 | 0 |
| A••••• W••••• M••••••••• L•• CRD 304642 | Chapel Hill, NC | independent RIA | $1.3B | 96% | 8 | $158M | 2 | 0 |
| H••••••• P•••• I••••••••• A•••••••• L•• CRD 144534 | Chapel Hill, NC | independent RIA | $1.2B | 75% | 7 | $173M | 1 | 0 |
| S••••••••• A•••• M••••••••• L•• CRD 141407 | Durham, NC | other | $1.2B | 0.0% | 0 | n/a | 0 | 2 |
| F••••••• F•••••••• A•••••••• L•• CRD 173011 | Raleigh, NC | independent RIA | $1.2B | 96% | 31 | $38.3M | 14 | 0 |
| W•••••• • C• A•••• M••••••••• G•••• I•• CRD 108199 | Bermuda Run, NC | independent RIA | $1.2B | 94% | 5 | $233M | 0 | 0 |
| V••••• A•••• M••••••••• CRD 158667 | Durham, NC | independent RIA | $1.2B | 73% | 53 | $21.8M | 10 | 0 |
| L••••• W••••• A•••••••• L•• CRD 118469 | Charlotte, NC | independent RIA | $1.1B | 93% | 6 | $184M | 1 | 0 |
| K••• C•••••• P•••••••• L•• CRD 329179 | Charlotte, NC | asset manager | $1.1B | 0.0% | 0 | n/a | 1 | 7 |
| P••••••••• C•••••• A•••••••• L•• CRD 174631 | Charlotte, NC | independent RIA | $1.1B | 99% | 7 | $153M | 0 | 0 |
| C••••••• C•••••• M••••••••• I•• CRD 108076 | Raleigh, NC | independent RIA | $1.0B | 75% | 3 | $342M | 0 | 0 |
| C•••••• I••••••••• C•••••• I•• CRD 104591 | Raleigh, NC | independent RIA | $1.0B | 89% | 4 | $256M | 0 | 0 |
| V•••• P••••••• L•• CRD 301058 | Charlotte, NC | independent RIA | $1.0B | 86% | 16 | $63.4M | 1 | 0 |
| F•••• T•••• A••••••• CRD 332377 | Charlotte, NC | institutional | $1.0B | 0.0% | 0 | n/a | 2 | 0 |
| B•••••• W••••• A•••••••• L•• CRD 116760 | New Bern, NC | independent RIA | $1.0B | 100% | 10 | $100M | 4 | 0 |
| F•• P•••••••• L•• CRD 322393 | Charlotte, NC | institutional | $910M | 0.0% | 0 | n/a | 1 | 0 |
| A••••••• P•••••• W•••••• L•• CRD 311517 | Chapel Hill, NC | independent RIA | $894M | 88% | 4 | $223M | 0 | 0 |
| T••••• C••••••• L•• CRD 304238 | Charlotte, NC | other | $825M | 16% | 2 | $412M | 1 | 0 |
| S••••••••• C•••••• A••••••• CRD 135008 | Charlotte, NC | independent RIA | $805M | 96% | 11 | $73.2M | 7 | 0 |
| K••• A•••••••• I••• CRD 117816 | Durham, NC | independent RIA | $801M | 99% | 4 | $200M | 0 | 0 |
| C••••••• W••••• M••••••••• I••• CRD 131393 | Greenville, NC | independent RIA | $798M | 72% | 8 | $99.8M | 1 | 0 |
| H••• P••••••••• C•••••• M••••••••• L•• CRD 297174 | Charlotte, NC | other | $788M | 0.0% | 0 | n/a | 1 | 7 |
| S••• C•••••• M••••••••• CRD 133941 | Raleigh, NC | other | $768M | 10% | 1 | $768M | 0 | 1 |
| I•• C••• I••••••••• M••••••••• L•• CRD 302090 | Raleigh, NC | asset manager | $742M | 0.0% | 0 | n/a | 0 | 0 |
| C•••••••• C•••••• A•••••••• L•• CRD 311528 | Raleigh, NC | independent RIA | $730M | 60% | 3 | $243M | 0 | 0 |
| C••••• G••••• F•••••••• A•••••••• L•• CRD 128365 | Asheville, NC | independent RIA | $725M | 90% | 10 | $72.5M | 2 | 0 |
| O•• P••• F•••••• CRD 154804 | Chapel Hill, NC | independent RIA | $714M | 99% | 7 | $102M | 0 | 0 |
| A•• L••••• P•••••••• L•• CRD 325604 | Hickory, NC | independent RIA | $671M | 66% | 2 | $335M | 1 | 0 |
| A•••• W••••• M••••••••• L•• CRD 133038 | Boone, NC | independent RIA | $664M | 99% | 4 | $166M | 0 | 0 |
| H••••••••• I••••••••• C• CRD 106530 | Greensboro, NC | independent RIA | $661M | 93% | 6 | $110M | 3 | 0 |
| T••••••••• L•• CRD 316415 | Raleigh, NC | independent RIA | $659M | 96% | 11 | $59.9M | 0 | 0 |
| C••••••••• C•••••• M••••••••• I••• CRD 118205 | Raleigh, NC | independent RIA | $653M | 98% | 4 | $163M | 0 | 0 |
The firm names past the first 3 rows are hidden. Open a row to reveal that record with a free account (5 a month), or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source is public either way.
290 advisers match.