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 |
|---|---|---|---|---|---|---|---|---|
| Gouws Capital LLC CRD 153812 | Charlotte, NC | independent RIA | $210M | 100% | 2 | $105M | 0 | 0 |
| Counterweight Private Wealth CRD 327880 | Wilmington, NC | independent RIA | $207M | 100% | 2 | $104M | 2 | 0 |
| Kenneth Frenke & Co CRD 109352 | Arden, NC | independent RIA | $207M | 100% | 2 | $103M | 2 | 0 |
| M•••••••• A••••••• CRD 145151 | Wilmington, NC | independent RIA | $206M | 100% | 7 | $29.5M | 4 | 0 |
| B••••••• A•••• M••••••••• L•• CRD 120462 | Charlotte, NC | mixed wealth | $205M | 49% | 3 | $68.2M | 0 | 3 |
| P••••• W••••• A•••••••• L•• CRD 300558 | Charlotte, NC | independent RIA | $204M | 98% | 3 | $68.0M | 1 | 1 |
| I• N••••••• L•• CRD 319096 | Charlotte, NC | independent RIA | $200M | 96% | 4 | $49.9M | 3 | 0 |
| A••••••• W••••• A••••••• CRD 113706 | Winston-Salem, NC | independent RIA | $198M | 100% | 3 | $65.9M | 0 | 0 |
| A•••••• W••••• M••••••••• L•• CRD 157968 | Chapel Hill, NC | independent RIA | $196M | 100% | 3 | $65.4M | 1 | 0 |
| S•••• P••••••• W••••• M••••••••• L•• CRD 112231 | Greensboro, NC | independent RIA | $196M | 93% | 2 | $98.1M | 2 | 0 |
| F•••••• F•••••••• C••••••••• L•• CRD 112897 | Chapel Hill, NC | independent RIA | $196M | 99% | 3 | $65.3M | 1 | 0 |
| C•••••• W••••• M••••••••• CRD 162299 | Raleigh, NC | mixed wealth | $196M | 34% | 4 | $48.9M | 3 | 0 |
| I••••••••• W••••• A•••••••• L•• CRD 328786 | Cary, NC | i••••••••• wealth | $195M | 100% | 4 | $48.8M | 0 | 0 |
| S•••••••• A••••••• P••••••• CRD 314842 | Greensboro, NC | independent RIA | $191M | 82% | 4 | $47.9M | 0 | 0 |
| R•••••••• W••••• A•••••••• L••• CRD 284843 | Raleigh, NC | independent RIA | $189M | 99% | 4 | $47.3M | 5 | 0 |
| G••••••• W••••• A•••••••• L•• CRD 290727 | Charlotte, NC | independent RIA | $185M | 93% | 4 | $46.1M | 0 | 0 |
| S••••• A•• C•••••• W••••• A••••••• CRD 336314 | High Point, NC | independent RIA | $183M | 99% | 4 | $45.9M | 0 | 0 |
| C•••••••• W••••• M••••••••• CRD 166812 | Charlotte, NC | independent RIA | $182M | 100% | 3 | $60.8M | 0 | 0 |
| C••••• A••••••• CRD 293929 | Charlotte, NC | independent RIA | $182M | 99% | 6 | $30.3M | 0 | 0 |
| F•••• P•••• F•••••••• A••••••• CRD 311329 | Charlotte, NC | independent RIA | $181M | 62% | 2 | $90.6M | 0 | 0 |
| B•••• R•••• C•••••• L•• CRD 144686 | Raleigh, NC | institutional | $180M | 1.6% | 3 | $60.2M | 1 | 0 |
| D•••• C•••••• A•••••••• L•• CRD 269886 | Charlotte, NC | independent RIA | $179M | 100% | 2 | $89.6M | 2 | 0 |
| H••••••••• A•••• A••••• • P•••••• P• CRD 118943 | Raleigh, NC | independent RIA | $177M | 96% | 3 | $59.1M | 0 | 0 |
| A••••••••• P•••••••• S•••••••• I••• CRD 336317 | Raleigh, NC | asset manager | $176M | 0.0% | 0 | n/a | 0 | 0 |
| F••••• L••••• F•••••••• S••••••••• L•• CRD 314351 | Cary, NC | independent RIA | $175M | 100% | 5 | $34.9M | 0 | 0 |
| P••••••• W••••• C•••••• I••• CRD 170540 | Durham, NC | independent RIA | $174M | 98% | 2 | $86.8M | 1 | 0 |
| I••••••• A••••••• G•••• CRD 106837 | Charlotte, NC | independent RIA | $172M | 99% | 4 | $43.0M | 1 | 0 |
| G•••••• W••••• M••••••••• L•• CRD 285812 | Davidson, NC | independent RIA | $171M | 100% | 1 | $171M | 0 | 0 |
| H••••• H••••• W••••• A•••••••• L•• CRD 152091 | Charlotte, NC | independent RIA | $171M | 89% | 4 | $42.8M | 0 | 2 |
| K••••••••• F•••••••• G••••• I••• CRD 127658 | Winston-Salem, NC | independent RIA | $170M | 100% | 2 | $84.8M | 0 | 0 |
| A•• R•••• W••••• M••••••••• L•• CRD 175151 | Raleigh, NC | independent RIA | $169M | 92% | 3 | $56.4M | 1 | 0 |
| O•• C•••••• CRD 167619 | Rocky Mount, NC | asset manager | $169M | 0.0% | 0 | n/a | 0 | 0 |
| H••••• S••••• I••••••••• A••••••• L•• CRD 145334 | Apex, NC | independent RIA | $166M | 100% | 7 | $23.8M | 0 | 0 |
| C••••• F•••••••• P•••••••• I••• CRD 134884 | Black Mountain, NC | independent RIA | $163M | 99% | 2 | $81.5M | 1 | 0 |
| P•••••• W••••• M••••••••• O• N•••• C••••••• L•• CRD 149889 | Henderson, NC | independent RIA | $163M | 90% | 3 | $54.3M | 1 | 0 |
| T•• W••••• G••••• L•• CRD 154106 | Raleigh, NC | independent RIA | $160M | 97% | 5 | $32.0M | 3 | 0 |
| P•••••••• F•••••••• W••••• M••••••••• CRD 325303 | Raleigh, NC | independent RIA | $160M | 54% | 1 | $160M | 0 | 0 |
| B••• W•••• C•••••• M••••••••• L•• CRD 127193 | Apex, NC | independent RIA | $160M | 99% | 2 | $79.9M | 0 | 0 |
| A•• A•••••••• L•• CRD 325125 | Raleigh, NC | independent RIA | $158M | 99% | 3 | $52.7M | 0 | 0 |
| H••••••• • M•••••• CRD 121197 | Asheville, NC | independent RIA | $156M | 100% | 2 | $77.9M | 0 | 0 |
| B• A•••• M••••••••• I••• CRD 328276 | Charlotte, NC | asset manager | $155M | 0.0% | 0 | n/a | 0 | 2 |
| S•••••• R••• A••••••• L•• CRD 311295 | Asheville, NC | independent RIA | $154M | 97% | 2 | $76.9M | 0 | 0 |
| T•••• W••••• CRD 320643 | High Point, NC | independent RIA | $152M | 100% | 3 | $50.7M | 5 | 0 |
| T••• C••• P•••••• W•••••• L•• CRD 315836 | Winston-Salem, NC | independent RIA | $151M | 100% | 4 | $37.8M | 1 | 0 |
| D••••• F•••••••• P••••••• CRD 104537 | Southern Pines, NC | independent RIA | $148M | 94% | 2 | $74.1M | 0 | 0 |
| W••••••••• A••••••• CRD 332312 | Cramerton, NC | independent RIA | $147M | 98% | 4 | $36.8M | 0 | 0 |
| A••••••• W•••••• L•• CRD 148969 | Wilmington, NC | independent RIA | $146M | 97% | 6 | $24.3M | 2 | 0 |
| B••• F•••••••• CRD 330324 | Charlotte, NC | independent RIA | $145M | 100% | 7 | $20.7M | 0 | 0 |
| W•••• O•• F•••••••• M••••••••• I•• CRD 142615 | Asheville, NC | independent RIA | $143M | 99% | 3 | $47.8M | 0 | 0 |
| F••••• C•••••• CRD 325514 | Charlotte, NC | independent RIA | $143M | 93% | 2 | $71.6M | 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.