DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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 |
|---|---|---|---|---|---|---|---|---|
| Captrust CRD 175112 | Raleigh, NC | institutional | $1237B | 7.8% | 946 | $1.3B | 96 | 17 |
| Allspring Global Investments, LLC CRD 104973 | Charlotte, NC | asset manager | $476B | 1.8% | 0 | n/a | 10 | 14 |
| Barings LLC CRD 106006 | Charlotte, NC | institutional | $393B | 0.0% | 0 | n/a | 10 | 91 |
| A•••••••• F•••• M••••••••• L•• CRD 110841 | Charlotte, NC | asset manager | $325B | 2.5% | 85 | $3.8B | 2 | 0 |
| B••••••••• I••••••••• A•••••••• L•• CRD 107312 | Charlotte, NC | asset manager | $133B | 1.1% | 0 | n/a | 0 | 0 |
| S••••••• C•••••• M••••••••• L•• CRD 135405 | Charlotte, NC | other | $69B | 4.0% | 33 | $2.1B | 10 | 0 |
| W•••• F•••• I••••••••• I••••••••• I••• CRD 133204 | Charlotte, NC | bank affiliated | $43B | 81% | 50 | $860M | 2 | 0 |
| A••••• F•••••••• A•••••••• L•• CRD 158744 | Charlotte, NC | independent RIA | $35B | 100% | 65 | $539M | 0 | 0 |
| S•••••••• P•••••• W••••• CRD 305881 | Charlotte, NC | asset manager | $18B | 0.0% | 0 | n/a | 1 | 4 |
| I••••••••• A•••••• A•••••••• L•• CRD 168267 | Charlotte, NC | independent RIA | $17B | 95% | 303 | $56.9M | 140 | 0 |
| G••••• E•••••••• M••••••••• L• CRD 157772 | Charlotte, NC | asset manager | $13B | 0.0% | 0 | n/a | 1 | 148 |
| C•••••••• I••••••••• M••••••••• L•• CRD 305060 | Charlotte, NC | asset manager | $12B | 0.0% | 0 | n/a | 2 | 0 |
| T••••••••• C•••••• P••••••• CRD 155425 | Chapel Hill, NC | asset manager | $11B | 0.0% | 0 | n/a | 0 | 102 |
| A••••••• W••••• A•••••• S•••••••• CRD 143593 | Charlotte, NC | asset manager | $11B | 0.0% | 7 | $1.6B | 2 | 0 |
| R•••••••• P••••••• M••••••••• L•• CRD 157421 | Charlotte, NC | asset manager | $10B | 0.0% | 0 | n/a | 1 | 32 |
| H•••••• I••••••••• L•• CRD 109552 | Charlotte, NC | asset manager | $8.5B | 6.4% | 27 | $314M | 0 | 0 |
| A•••• P•••••••• L• CRD 284477 | Charlotte, NC | asset manager | $8.4B | 0.0% | 0 | n/a | 6 | 9 |
| W•••• C•••••• M••••••••• L•• CRD 106234 | Charlotte, NC | institutional | $8.1B | 0.6% | 22 | $370M | 0 | 0 |
| B••• P••••••• CRD 329611 | Greensboro, NC | asset manager | $6.1B | 0.0% | 0 | n/a | 8 | 26 |
| V•••••• A•••••••• I••• CRD 117892 | Cary, NC | institutional | $6.0B | 6.4% | 4 | $1.5B | 0 | 0 |
| P•••••• C•••••• CRD 157532 | Charlotte, NC | asset manager | $5.3B | 0.0% | 0 | n/a | 0 | 7 |
| A•••••• I••••••••• M••••••••• CRD 164273 | Charlotte, NC | other | $5.3B | 0.0% | 0 | n/a | 0 | 0 |
| B•••• F•••••••• A••••••• I•• CRD 108780 | Charlotte, NC | independent RIA | $4.7B | 72% | 15 | $311M | 0 | 0 |
| Q•• C••••••• L••• CRD 311710 | Raleigh, NC | asset manager | $4.6B | 0.0% | 0 | n/a | 0 | 0 |
| F••••••• S••••• A••••••• I••• CRD 106275 | Chapel Hill, NC | bank affiliated | $4.5B | 81% | 16 | $283M | 0 | 5 |
| S•••• I••••••••• C••••••••• I•• CRD 104855 | Winston Salem, NC | independent RIA | $4.2B | 90% | 13 | $322M | 1 | 0 |
| P••••• C•••••• CRD 310241 | Raleigh, NC | asset manager | $3.8B | 0.0% | 0 | n/a | 1 | 17 |
| F••••••••• M••••••••• P••••••• L• CRD 163076 | Charlotte, NC | asset manager | $3.7B | 0.0% | 0 | n/a | 0 | 6 |
| B••••••• F••••• O•••••• L•• CRD 167174 | Charlotte, NC | independent RIA | $3.5B | 99% | 16 | $217M | 1 | 0 |
| C••••• F••••• O••••••• L•• CRD 167017 | Charlotte, NC | independent RIA | $3.4B | 96% | 7 | $480M | 2 | 0 |
| V••••• C•••••• M••••••••• CRD 170125 | Winston-Salem, NC | asset manager | $3.3B | 0.0% | 0 | n/a | 0 | 1 |
| C••••••••• A•••••••• L•• CRD 300891 | Asheville, NC | asset manager | $3.0B | 0.0% | 0 | n/a | 0 | 0 |
| N•• R••••••• P••••••• CRD 310907 | Charlotte, NC | mixed wealth | $3.0B | 30% | 6 | $505M | 5 | 13 |
| S•••• S••••• W••••• M••••••••• CRD 129614 | Greensboro, NC | independent RIA | $2.9B | 93% | 17 | $170M | 3 | 0 |
| G••••••• W••••• A•••••••• L•• CRD 305412 | Raleigh, NC | independent RIA | $2.7B | 72% | 32 | $85.7M | 13 | 0 |
| F•••• C••••••• I••••••• S•••••••• I••• CRD 44430 | Raleigh, NC | BD affiliated | $2.6B | 99% | 405 | $6.5M | 111 | 0 |
| A•••••••• C•••••• M••••••••• CRD 157423 | Cornelius, NC | independent RIA | $2.5B | 90% | 152 | $16.4M | 86 | 0 |
| C••••••••• W••••• CRD 289971 | Huntersville, NC | independent RIA | $2.5B | 98% | 30 | $82.9M | 8 | 0 |
| C•••••• I••••••••• A••••••• S•••••••• L•• CRD 149124 | Raleigh, NC | BD affiliated | $2.4B | 96% | 103 | $23.2M | 39 | 0 |
| T••••••• A•••••••• L•• CRD 305331 | Raleigh, NC | asset manager | $2.1B | 0.0% | 0 | n/a | 1 | 8 |
| C••••••• R••••••••• C••••••••• I••• CRD 140786 | Cary, NC | institutional | $2.0B | 0.0% | 2 | $993M | 0 | 0 |
| N••••• C•••••• M••••••••• CRD 117949 | Charlotte, NC | independent RIA | $1.9B | 97% | 18 | $107M | 0 | 0 |
| C••••••• C•••••• M••••••••• C••••••• L••• CRD 157822 | Charlotte, NC | asset manager | $1.9B | 0.0% | 0 | n/a | 0 | 10 |
| H•••••• I••••••••• M••••••••• L••••• CRD 152789 | Raleigh, NC | asset manager | $1.9B | 0.0% | 0 | n/a | 1 | 8 |
| E••• A••••••• CRD 289395 | Chapel Hill, NC | mixed wealth | $1.9B | 39% | 7 | $270M | 0 | 5 |
| W•••••• A•••••••• L•• CRD 133279 | Charlotte, NC | independent RIA | $1.9B | 93% | 18 | $104M | 0 | 0 |
| M••••• C•••• C•••••• M••••••••• L•• CRD 138401 | Chapel Hill, NC | asset manager | $1.8B | 2.0% | 0 | n/a | 1 | 33 |
| B•••••••• I••••••••• P••••••• L•• CRD 170196 | Greensboro, NC | asset manager | $1.8B | 0.0% | 5 | $356M | 1 | 0 |
| L••••• T••••• A••••••• S•••••••• L•• CRD 288557 | Charlotte, NC | independent RIA | $1.8B | 91% | 10 | $177M | 0 | 0 |
| S••••• C•••• I••••••••• M••••••••• L•• CRD 170209 | Charlotte, NC | asset manager | $1.7B | 0.0% | 0 | n/a | 0 | 9 |
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290 advisers match.