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 |
|---|---|---|---|---|---|---|---|---|
| Tagstone Capital, Inc. CRD 158864 | Charlotte, NC | independent RIA | $369M | 84% | 1 | $369M | 0 | 0 |
| Kanbrick LLC CRD 309288 | Charlotte, NC | asset manager | $362M | 0.0% | 0 | n/a | 1 | 2 |
| Armor Investment Advisors, LLC CRD 134200 | Raleigh, NC | independent RIA | $356M | 100% | 4 | $89.0M | 0 | 0 |
| H•• F••• M••••••••• L• CRD 281615 | Raleigh, NC | asset manager | $347M | 0.0% | 0 | n/a | 0 | 0 |
| G••••• C••• M••••••••• L•• CRD 310518 | Charlotte, NC | asset manager | $344M | 0.0% | 0 | n/a | 1 | 3 |
| R••••••• C••••••• L•• CRD 305695 | Charlotte, NC | independent RIA | $341M | 85% | 3 | $114M | 0 | 0 |
| B•••••••• F••• M••••••••• CRD 306419 | Greensboro, NC | asset manager | $340M | 0.0% | 2 | $170M | 0 | 0 |
| L•••• F•••••••• M••••••••• L•• CRD 116344 | Raleigh, NC | independent RIA | $339M | 100% | 3 | $113M | 0 | 0 |
| U••••••• I••••••••• A•••••••• I••• CRD 117592 | Albemarle, NC | independent RIA | $338M | 86% | 15 | $22.5M | 4 | 0 |
| E••••••• A•••• M••••••••• L•• CRD 313334 | Mooresville, NC | independent RIA | $337M | 65% | 10 | $33.7M | 1 | 5 |
| I•••••• F••••• CRD 174411 | Charlotte, NC | independent RIA | $331M | 100% | 19 | $17.4M | 11 | 0 |
| L••••••• G•••• CRD 144157 | Raleigh, NC | independent RIA | $326M | 100% | 4 | $81.5M | 0 | 0 |
| W•• • C••••••• L•• CRD 289138 | Charlotte, NC | asset manager | $320M | 0.0% | 0 | n/a | 0 | 4 |
| F•••• F•••••••• G•••• CRD 134006 | Raleigh, NC | independent RIA | $317M | 100% | 4 | $79.2M | 1 | 0 |
| F•••• O•• W••••• M••••••••• L•• CRD 288316 | Raleigh, NC | independent RIA | $316M | 65% | 1 | $316M | 0 | 0 |
| G••••• W••••• M••••••••• CRD 341458 | Charlotte, NC | independent RIA | $316M | 100% | 2 | $158M | 0 | 0 |
| S••••• W••••• P••••••• CRD 318036 | Charlotte, NC | independent RIA | $316M | 89% | 7 | $45.1M | 0 | 0 |
| L••• W••••• A••••••• CRD 325041 | Charlotte, NC | mixed wealth | $311M | 45% | 3 | $104M | 0 | 0 |
| B••••• F•••••••• S••••••••• C•••• CRD 132987 | Raleigh, NC | independent RIA | $309M | 97% | 4 | $77.4M | 0 | 0 |
| B••••• W••••••••• L•• CRD 312556 | Raleigh, NC | independent RIA | $308M | 100% | 5 | $61.7M | 0 | 0 |
| J••• A•••• A•• A••••••••• I••• CRD 319379 | Asheville, NC | independent RIA | $306M | 89% | 3 | $102M | 1 | 0 |
| D••••••• F•••••••• G•••• L•• CRD 311298 | Wilmington, NC | independent RIA | $299M | 100% | 3 | $99.6M | 1 | 0 |
| O••••••• F•••••••• G••••• I••• CRD 138515 | Wilmington, NC | independent RIA | $286M | 78% | 6 | $47.6M | 0 | 0 |
| P•••• O• M••• W••••• M••••••••• CRD 317067 | Raleigh, NC | independent RIA | $283M | 99% | 8 | $35.4M | 2 | 0 |
| W•• A•••••••• L•• CRD 122224 | Charlotte, NC | independent RIA | $281M | 99% | 6 | $46.8M | 3 | 0 |
| W•••• A••••••• CRD 156564 | Charlotte, NC | independent RIA | $281M | 100% | 7 | $40.1M | 1 | 0 |
| M•••••••• I••••••••• I••• CRD 47090 | Charlotte, NC | other | $277M | 16% | 2 | $139M | 0 | 0 |
| R•••••• I••••••••• P•••••••• L•• CRD 297369 | Pinehurst, NC | independent RIA | $268M | 87% | 3 | $89.4M | 1 | 0 |
| T••••• C•••••• M••••••••• I•• CRD 121112 | Matthews, NC | independent RIA | $266M | 90% | 4 | $66.5M | 0 | 0 |
| M••••••• D••••••• P••••••••• L•• CRD 311046 | Asheville, NC | other | $263M | 0.0% | 0 | n/a | 0 | 0 |
| H•••••• F•••••••• S•••••••• L•• CRD 158798 | Winston Salem, NC | independent RIA | $262M | 99% | 6 | $43.7M | 1 | 0 |
| H••••••• W••••• M••••••••• CRD 127457 | Asheville, NC | independent RIA | $258M | 96% | 3 | $86.1M | 1 | 0 |
| M•••••••• W••••• A••••••• L•• CRD 316071 | Charlotte, NC | independent RIA | $256M | 100% | 2 | $128M | 0 | 0 |
| M••••• C•••••• A•••••••• L•• CRD 131117 | Raleigh, NC | independent RIA | $255M | 100% | 18 | $14.2M | 4 | 0 |
| C••••• C•••••• P••••••• L•• CRD 159911 | Winston Salem, NC | independent RIA | $251M | 91% | 4 | $62.8M | 0 | 0 |
| C••••• W••••• M••••••••• S••••••• CRD 323302 | Winston Salem, NC | independent RIA | $245M | 81% | 0 | n/a | 1 | 0 |
| C••••••• F•••••••• A•••••••• I••• CRD 118823 | Greensboro, NC | independent RIA | $241M | 100% | 4 | $60.2M | 0 | 0 |
| L••••• W••••• M••••••••• L•• CRD 291548 | Wilmington, NC | independent RIA | $240M | 67% | 3 | $80.1M | 0 | 0 |
| W••••••••• C•••••• CRD 119176 | Winston-Salem, NC | independent RIA | $239M | 100% | 4 | $59.6M | 0 | 0 |
| Q•••• 1• W••••• B•••••••• I••• CRD 154092 | Fuquay-Varina, NC | independent RIA | $238M | 100% | 3 | $79.2M | 5 | 0 |
| L•••• W••••• M••••••••• L•• CRD 301381 | Greensboro, NC | independent RIA | $237M | 100% | 3 | $78.8M | 1 | 0 |
| P••••• W••••• CRD 144230 | Cornelius, NC | independent RIA | $229M | 100% | 2 | $115M | 0 | 0 |
| B• I••••••••• P•••••••• L•• CRD 309347 | Raleigh, NC | asset manager | $224M | 0.0% | 0 | n/a | 0 | 3 |
| B••••• C•••••• A••••••• G•••• CRD 333090 | Charlotte, NC | independent RIA | $224M | 100% | 2 | $112M | 1 | 0 |
| C••••••• W••••• L•• CRD 336270 | Greenville, NC | independent RIA | $223M | 70% | 2 | $111M | 0 | 0 |
| K•••••• C•••••• M••••••••• L•• CRD 316352 | Winston-Salem, NC | institutional | $222M | 2.4% | 2 | $111M | 0 | 0 |
| O•••••• A•••• M••••••••• L•• CRD 286248 | Charlotte, NC | asset manager | $221M | 0.0% | 0 | n/a | 0 | 1 |
| I••••••••• W••••••••• L•• CRD 312929 | Durham, NC | independent RIA | $218M | 85% | 4 | $54.5M | 2 | 0 |
| G•••• F•••••••• CRD 110592 | Shelby, NC | independent RIA | $215M | 73% | 3 | $71.8M | 0 | 0 |
| A• W••••• A••••••• L•• CRD 152397 | Huntersville, NC | independent RIA | $214M | 100% | 8 | $26.7M | 1 | 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.