State-registered independent wealth management RIA
Opus Financial Advisors, Inc.
As of its Form ADV filed May 21, 2026, Opus Financial Advisors, Inc., a state-registered independent wealth management RIA in Statesville, North Carolina, reported $30.0 million in regulatory assets under management across 94 accounts, ranking #322 among independent RIAs in North Carolina by assets.
Registration
- Main office
- Statesville, NC
- Registration
- State-registered, Approved
- CRD number
- 118742
- SEC file number
- None (state-registered)
- Registered since
- December 31, 2000
- Latest Form ADV filing
- May 21, 2026
- Organized as
- Corporation
- Fiscal year ends
- October
- Other offices
- 1
Key figures
- Regulatory assets under management
- $30.0 million
- Discretionary
- $30.0 million (100.0%)
- Non-discretionary
- $0
- Accounts
- 94 (94 discretionary)
- Clients
- 748, approximate as reported
- Employees
- 5
- Advisory staff
- 5 performing investment advisory functions
- Average account
- $319,149
- Asset growth, 1 year
- Not reported
- Asset growth, 3-year annual rate
- Not reported
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- Not reported
Independent wealth management RIA: individual and high net worth clients hold at least half of its regulatory assets, it offers financial planning or portfolio management for individuals, and it is not a broker-dealer, a bank or part of one by the directory's rules. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among independent wealth management RIAs.
| Ranking | Nationally | In North Carolina | Value |
|---|---|---|---|
| Largest independent RIAs by assets under management | #12,358 | #322 | $30.0 million |
| Independent RIAs with the most clients | #1,390 | #26 | 748 |
| Independent RIAs with the most accounts | #11,518 | #316 | 94 |
| Independent RIAs with the most advisory staff | #2,648 | #63 | 5 |
| Independent RIAs with the most high net worth clients | #6,578 | #184 | 40 |
| Independent RIAs with the most CFP professionals | #1,937 | #55 | 2 |
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 7, 2026 | $30.0 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| Individuals (other than high net worth) 329 clients | $17.1 million | |
| High net worth individuals 40 clients | $11.8 million | |
| Charitable organizations 5 clients | $1.1 million |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Other
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Portfolio management for businesses or institutional clients
- Pension consulting
- Selection of other advisers
- Publication of periodicals or newsletters
- Educational seminars or workshops
- Other
Financial planning clients (Item 5.H): 26-50.
Wrap fee program sponsor or portfolio manager: yes.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Registered representative of a broker-dealer
- Real estate broker, dealer or agent
- Insurance broker or agent
- Accountant or accounting firm
Financial industry affiliations (Item 7.A)
None reported.
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 5
- Also registered through a broker-dealer
- 5
- Employees who are IARs (Form ADV 5.B(3))
- 5
Designations held by the firm's IARs: CFP 2.
0 of the firm's 5 IARs are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
Our source has no Form ADV Item 11 detail for this firm. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in North Carolina
| Firm | City | RAUM |
|---|---|---|
| Cary Financial Planning, LLC | Cary | $30.4 million |
| Toucan Financial, Inc. | Charlotte | $30.0 million |
| Gulfstream Capital, LLC | Not reported | $30.0 million |
| Aurora Strategic Advisors, LLC | Lumberton | $29.8 million |
| Ascendant Capital Research, Ltd. | Waxhaw | $29.8 million |
The five independent RIAs nearest in regulatory assets with a main office in the same state.
Elsewhere
- Opus Financial Advisors, Inc. on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.opusfa.com
- Independent RIAs in North Carolina
Firm data as of October 7, 2026, from IA_FIRM_STATE_Feed_10_07_2026.xml.gz. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 7, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.