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 |
|---|---|---|---|---|---|---|---|---|
| 1808 Capital Partners CRD 332702 | Greensboro, NC | independent RIA | $645M | 95% | 4 | $161M | 0 | 0 |
| Woodward Financial Advisors, Inc. CRD 150641 | Chapel Hill, NC | independent RIA | $641M | 100% | 6 | $107M | 0 | 0 |
| Phoenix Wealth Advisors Inc. CRD 118412 | Chapel Hill, NC | independent RIA | $641M | 96% | 7 | $91.6M | 0 | 0 |
| H•••••• W••••• A•••••••• L•• CRD 283014 | Chapel Hill, NC | independent RIA | $636M | 100% | 11 | $57.8M | 0 | 0 |
| S•• M••••••••• S•••••••• L•• CRD 164078 | Charlotte, NC | asset manager | $624M | 0.0% | 0 | n/a | 0 | 29 |
| C•••••• A•••••••• I••• CRD 118442 | Raleigh, NC | independent RIA | $620M | 76% | 4 | $155M | 0 | 0 |
| A•••• F•••••••• A•••••••• L•• CRD 122545 | Charlotte, NC | independent RIA | $619M | 100% | 6 | $103M | 0 | 0 |
| S••• H••••• F••••• C••••••• L•• CRD 317547 | Chapel Hill, NC | mixed wealth | $614M | 37% | 1 | $614M | 0 | 0 |
| A••••• A••••••• L•• CRD 289489 | Charlotte, NC | independent RIA | $613M | 100% | 2 | $306M | 1 | 0 |
| S••••• W••••• M••••••••• L•• CRD 119598 | Matthews, NC | independent RIA | $605M | 95% | 8 | $75.6M | 1 | 6 |
| W••••••• C•••••• M••••••••• I•• CRD 106865 | Rocky Mount, NC | independent RIA | $598M | 88% | 5 | $120M | 2 | 0 |
| F••• D••••• A••••••• I••• CRD 155363 | Greensboro, NC | institutional | $593M | 9.8% | 4 | $148M | 0 | 0 |
| F••••••• P•••••• L•••••• L•• CRD 290298 | Raleigh, NC | independent RIA | $584M | 81% | 19 | $30.7M | 6 | 0 |
| H••••• W••••• CRD 168494 | Charlotte, NC | independent RIA | $558M | 100% | 12 | $46.5M | 2 | 0 |
| Z•••• F•••••••• A•••••••• L•• CRD 173129 | Greensboro, NC | independent RIA | $520M | 82% | 2 | $260M | 1 | 0 |
| D••••••• C•••••• CRD 159607 | Charlotte, NC | independent RIA | $510M | 88% | 3 | $170M | 1 | 1 |
| A••••• P•••••• C•••••• CRD 154116 | Cornelius, NC | independent RIA | $510M | 100% | 8 | $63.7M | 1 | 0 |
| C••••••• P•••••• A•••••••• L•• CRD 283527 | Charlotte, NC | asset manager | $505M | 0.0% | 0 | n/a | 2 | 4 |
| C•••• W••••• G•••• L•• CRD 299732 | Charlotte, NC | independent RIA | $502M | 97% | 8 | $62.8M | 4 | 0 |
| Q••••••••• P••••••• L•• CRD 165699 | Charlotte, NC | mixed wealth | $502M | 21% | 3 | $167M | 0 | 0 |
| A•• A••••••• CRD 173120 | Asheville, NC | independent RIA | $499M | 97% | 4 | $125M | 1 | 0 |
| P••••••• C•••••• M••••••••• L•• CRD 155682 | Greenboro, NC | independent RIA | $496M | 67% | 3 | $165M | 0 | 1 |
| S••••• F•••••••• A•••••••• I••• CRD 144978 | Winston-Salem, NC | independent RIA | $495M | 100% | 8 | $61.9M | 1 | 0 |
| G••••• P••••••• CRD 158939 | Asheville, NC | asset manager | $493M | 0.0% | 0 | n/a | 0 | 3 |
| T•••• M•••••••• F•••••••• A••••••• CRD 114471 | Winston Salem, NC | independent RIA | $487M | 94% | 5 | $97.4M | 1 | 0 |
| C••••••••• W••••• P••••••• CRD 166886 | Charlotte, NC | independent RIA | $486M | 99% | 10 | $48.6M | 3 | 0 |
| T•• P•••• W••••• M••••••••• L•• CRD 326353 | Southern P••••, NC | independent RIA | $486M | 98% | 2 | $243M | 0 | 0 |
| P••••••••• F•••••••• S•••••••• I••• CRD 118519 | Raleigh, NC | independent RIA | $482M | 93% | 3 | $161M | 1 | 0 |
| I• F•••••••• A••••••• S••••••• L•• CRD 305772 | Charlotte, NC | independent RIA | $481M | 100% | 133 | $3.6M | 28 | 0 |
| T••••••• A•••• M••••••••• C•••• CRD 108216 | Raleigh, NC | independent RIA | $480M | 99% | 3 | $160M | 0 | 0 |
| S••••••• C••••••• L•• CRD 304746 | Raleigh, NC | asset manager | $465M | 0.0% | 0 | n/a | 0 | 12 |
| F•••• C••••••• A•••• M••••••••• I•• CRD 140777 | Raleigh, NC | BD affiliated | $465M | 82% | 75 | $6.2M | 23 | 0 |
| P•••••• W••••• S••••••••• L•• CRD 337709 | Raleigh, NC | independent RIA | $457M | 99% | 4 | $114M | 0 | 0 |
| O•• N•••• S•••• W••••• M••••••••• L•• CRD 148659 | Wilmington, NC | independent RIA | $453M | 100% | 6 | $75.4M | 1 | 0 |
| T••••••• CRD 150748 | Winston Salem, NC | independent RIA | $450M | 91% | 4 | $113M | 0 | 0 |
| C••••••• F•••• G•• L•• CRD 162923 | Charlotte, NC | asset manager | $440M | 0.0% | 0 | n/a | 0 | 1 |
| A••••••••• P••••••• L•• CRD 304967 | Raleigh, NC | independent RIA | $435M | 53% | 3 | $145M | 1 | 0 |
| M••••••••• F•••••••• M••••••••• I••• CRD 337870 | Shelby, NC | independent RIA | $418M | 98% | 3 | $139M | 1 | 0 |
| A••••••• C•••••• M••••••••• CRD 118979 | Asheville, NC | independent RIA | $412M | 77% | 2 | $206M | 2 | 0 |
| N••••• CRD 133978 | Mooresville, NC | mixed wealth | $404M | 32% | 7 | $57.8M | 4 | 0 |
| T•••• F•••••••• P•••••••• I••• CRD 157852 | Wilmington, NC | independent RIA | $404M | 98% | 5 | $80.7M | 0 | 0 |
| H• L• O••••• • C••••••• L•• CRD 313593 | Greenville, NC | independent RIA | $401M | 90% | 5 | $80.3M | 1 | 0 |
| T•• R•••• W••••• P•••••••• L•• CRD 328530 | Louisburg, NC | independent RIA | $401M | 92% | 5 | $80.2M | 1 | 0 |
| R•••••• C•••••• M••••••••• I••• CRD 149538 | Cary, NC | independent RIA | $398M | 98% | 12 | $33.1M | 0 | 0 |
| F••••• W••••• P•••••••• L•• CRD 317764 | Matthews, NC | independent RIA | $392M | 93% | 6 | $65.4M | 0 | 0 |
| E••••••• C•••••• M••••••••• CRD 150821 | Charlotte, NC | independent RIA | $392M | 83% | 3 | $131M | 0 | 0 |
| D•••• I••••••••• P•••••••• L•• CRD 318783 | Charlotte, NC | independent RIA | $390M | 100% | 2 | $195M | 0 | 0 |
| S•••••• P••••••• G•••• CRD 166599 | Greensboro, NC | independent RIA | $384M | 94% | 3 | $128M | 0 | 0 |
| C••••••• C•••••• A•••• M••••••••• L•• CRD 167102 | Greensboro, NC | independent RIA | $383M | 89% | 3 | $128M | 1 | 0 |
| C•••••• M••••••••• L•• CRD 109416 | Greensboro, NC | independent RIA | $383M | 91% | 3 | $128M | 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.