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 |
|---|---|---|---|---|---|---|---|---|
| Calamita Wealth Management CRD 153316 | Charlotte, NC | independent RIA | $138M | 96% | 2 | $69.1M | 0 | 0 |
| Tarheel Advisors, LLC CRD 149308 | Chapel Hill, NC | independent RIA | $138M | 89% | 2 | $68.9M | 3 | 0 |
| Professional Wealth Management Services LLC CRD 150266 | Statesville, NC | independent RIA | $136M | 100% | 2 | $68.1M | 0 | 0 |
| B•• A••••••• CRD 297243 | Apex, NC | independent RIA | $135M | 98% | 6 | $22.5M | 2 | 0 |
| S•••• F•••••••• M••••••••• I••• CRD 122670 | Raleigh, NC | independent RIA | $134M | 100% | 2 | $67.0M | 0 | 0 |
| S••••••••• S•••••••• L•• CRD 319155 | Chapel Hill, NC | independent RIA | $133M | 60% | 0 | n/a | 0 | 3 |
| T••••••••• W••••• M••••••••• I••• CRD 118788 | Charlotte, NC | independent RIA | $133M | 96% | 3 | $44.2M | 0 | 0 |
| W•••• F•••••••• M••••••••• L•• CRD 158030 | Asheville, NC | independent RIA | $133M | 99% | 1 | $133M | 0 | 0 |
| T•• B•••• G•••• CRD 335020 | Wrightsville Beach, NC | mixed wealth | $132M | 30% | 2 | $65.8M | 0 | 0 |
| S•••• C•••••• M••••••••• L•• CRD 166103 | Fuquay Varina, NC | independent RIA | $129M | 53% | 1 | $129M | 0 | 2 |
| K•••••• W••••• CRD 329601 | Charlotte, NC | independent RIA | $124M | 99% | 1 | $124M | 0 | 0 |
| T••••• F•••••••• G••••• L•• CRD 302115 | Raleigh, NC | independent RIA | $122M | 87% | 1 | $122M | 0 | 0 |
| W••• F•••••••• S••••••••• I••• CRD 118241 | Sanford, NC | independent RIA | $121M | 98% | 2 | $60.5M | 0 | 0 |
| E•••••• A•••• M••••••••• I••• CRD 174691 | Rocky Mount, NC | independent RIA | $121M | 99% | 2 | $60.4M | 0 | 0 |
| H•••• • A••••••••• W••••• M••••••••• L•• CRD 323171 | Cary, NC | independent RIA | $120M | 100% | 2 | $59.8M | 0 | 0 |
| T•• C•••••• M••••••••• I••• CRD 146674 | Raleigh, NC | independent RIA | $118M | 81% | 4 | $29.6M | 2 | 1 |
| P••••••• W••••• M••••••••• CRD 297449 | Cornelius, NC | independent RIA | $115M | 100% | 2 | $57.7M | 0 | 0 |
| H••••••• I••••••••• P•••••••• L• CRD 170628 | Raleigh, NC | other | $115M | 0.0% | 5 | $23.0M | 0 | 0 |
| E•••••••• W••••• A••••••• CRD 326535 | Raleigh, NC | independent RIA | $112M | 66% | 3 | $37.5M | 1 | 0 |
| R•• W••••• A••••••• L•• CRD 153826 | Raleigh, NC | independent RIA | $110M | 97% | 1 | $110M | 0 | 0 |
| W•••• O•• W••••• P••••••• CRD 317324 | Raleigh, NC | independent RIA | $110M | 88% | 1 | $110M | 0 | 0 |
| T•• F•••••••• L••••• G•••• CRD 287632 | Charlotte, NC | independent RIA | $107M | 96% | 2 | $53.6M | 0 | 0 |
| E•• A•••••••• L•• CRD 338271 | Raleigh, NC | independent RIA | $107M | 60% | 5 | $21.4M | 0 | 0 |
| T••••• F••••••••• L••••• CRD 304729 | Hickory, NC | independent RIA | $106M | 95% | 2 | $53.2M | 0 | 0 |
| I••••••••• P•••••••• I••• CRD 336307 | Cornelius, NC | independent RIA | $101M | 100% | 3 | $33.8M | 0 | 0 |
| I••••••••• L•• CRD 314858 | Charlotte, NC | asset manager | $101M | 0.0% | 3 | $33.6M | 0 | 0 |
| C••••• M••••••••• I••••••••• A•••••••• L•• CRD 306974 | Pinehurst, NC | independent RIA | $100M | 100% | 4 | $25.1M | 0 | 0 |
| I••••••••• F•••••••• S•••••••• I••• CRD 19475 | Greensboro, NC | independent RIA | $85.4M | 100% | 12 | $7.1M | 9 | 0 |
| S•• W••••• CRD 325631 | Durham, NC | independent RIA | $63.7M | 100% | 14 | $4.5M | 14 | 0 |
| V• C•••••• M••••••••• L•• CRD 166761 | Greensboro, NC | asset manager | $63.0M | 0.0% | 0 | n/a | 1 | 1 |
| V•••••• P••••••••• CRD 334510 | Charlotte, NC | asset manager | $31.9M | 0.0% | 1 | $31.9M | 1 | 0 |
| I••••••••• P••••••• L•• CRD 146344 | Charlotte, NC | independent RIA | $21.7M | 100% | 2 | $10.8M | 0 | 0 |
| V••••• F•••••• CRD 299272 | Durham, NC | no RAUM | $0 | n/a | 1 | n/a | 1 | 9 |
| I•• I••••••••• M••••••••• L•• CRD 305377 | Raleigh, NC | no RAUM | $0 | n/a | 0 | n/a | 0 | 0 |
| F•••••••• I••• CRD 330609 | Raleigh, NC | no RAUM | $0 | n/a | 0 | n/a | 0 | 0 |
| N••••• P•••••• C••••••• L•• CRD 341626 | Mooresville, NC | no RAUM | $0 | n/a | 0 | n/a | 3 | 0 |
| C••••• W••••• G•••• CRD 342075 | Mooresville, NC | no RAUM | $0 | n/a | 3 | n/a | 0 | 0 |
| S•••••••• P••••••• CRD 342232 | Charlotte, NC | no RAUM | $0 | n/a | 0 | n/a | 0 | 1 |
| O••• R•••••• F•••••••• G•••• CRD 342848 | R••••••, NC | no RAUM | $0 | n/a | 5 | n/a | 0 | 0 |
| S•••••• F•••••••• A•••••••• L•• CRD 298968 | Winston-Salem, NC | no RAUM | n/a | n/a | 4 | n/a | 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.
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290 advisers match.