SEC-registered independent wealth management RIA
Independent Advisor Alliance, LLC
As of its Form ADV filed September 30, 2026, Independent Advisor Alliance, LLC, an SEC-registered independent wealth management RIA in Charlotte, North Carolina, reported $17.2 billion in regulatory assets under management across 45,002 accounts, ranking #1 among independent RIAs in North Carolina by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 168267
- SEC file number
- 801-78808
- Registered since
- November 26, 2013
- Latest Form ADV filing
- September 30, 2026
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 140
Key figures
- Regulatory assets under management
- $17.2 billion
- Discretionary
- $17.2 billion (100.0%)
- Non-discretionary
- $0
- Accounts
- 45,002 (45,002 discretionary)
- Clients
- 45,535, approximate as reported
- Employees
- 251
- Advisory staff
- 247 performing investment advisory functions
- Average account
- $382,945
- Asset growth, 1 year
- 22.4% (from $14.1 billion a year earlier)
- Asset growth, 3-year annual rate
- 19.5% (from $10.1 billion three years earlier)
- Asset growth, 5-year annual rate
- 17.6% (from $7.7 billion five years earlier)
- Client growth, 1 year
- 33.3% (from 34,169)
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 | #57 | #1 | $17.2 billion |
| Fastest-growing independent RIAs over one year | #1,910 | #52 | 22.4%from $14.1 billion |
| Fastest-growing independent RIAs over three years | #1,730 | #46 | 19.5%from $10.1 billion |
| Fastest-growing independent RIAs over five years | #857 | #22 | 17.6%from $7.7 billion |
| Independent RIAs with the biggest asset gains over one year | #70 | #1 | $3.2 billion |
| Independent RIAs with the most clients | #24 | #1 | 45,535 |
| Independent RIAs with the fastest client growth over one year | #431 | #12 | 33.3%from 34,169 |
| Independent RIAs with the most accounts | #33 | #1 | 45,002 |
| Independent RIAs with the most advisory staff | #21 | #1 | 247 |
| Independent RIAs with the most high net worth clients | #12 | #1 | 15,578 |
| Independent RIAs with the most CFP professionals | #35 | #1 | 73 |
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2014 | $284.0 million |
| October 1, 2015 | $341.1 million |
| October 3, 2016 | $906.8 million |
| October 2, 2017 | $2.0 billion |
| October 1, 2018 | $3.1 billion |
| October 1, 2019 | $4.7 billion |
| October 1, 2020 | $5.9 billion |
| October 4, 2021 | $7.7 billion |
| October 3, 2022 | $9.8 billion |
| October 5, 2023 | $10.1 billion |
| October 1, 2024 | $12.8 billion |
| September 2, 2025 | $14.1 billion |
| October 2, 2026 | $17.2 billion |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 15,578 clients | $12.0 billion | |
| Individuals (other than high net worth) 26,649 clients | $4.3 billion | |
| Charitable organizations 932 clients | $472.8 million | |
| Corporations or other businesses 967 clients | $292.4 million | |
| Pension and profit sharing plans 875 clients | $147.7 million | |
| Other 1 client | $83,322 |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
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
Financial planning clients (Item 5.H): 101-250.
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
- Insurance broker or agent
Financial industry affiliations (Item 7.A)
- Accountant or accounting firm
- Lawyer or law firm
- Insurance company or agency
Custody (Item 9)
The firm reported custody of client cash or securities, $1.8 billion in total.
Investment adviser representatives
- IARs registered with the firm
- 302
- Also registered through a broker-dealer
- 268
- Employees who are IARs (Form ADV 5.B(3))
- 251
Designations held by the firm's IARs: CFP 73, ChFC 9, CFA 3.
Between 75 and 302 of the firm's 302 IARs are registered in jurisdictions that require IAR CE. The source counts registrations by jurisdiction, and many IARs are registered in more than one, so the exact number is not knowable from it. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 0 disclosure questions. 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 |
|---|---|---|
| Bragg Financial Advisors Inc | Charlotte | $4.7 billion |
| Salem Investment Counselors Inc | Winston Salem | $4.2 billion |
| Biltmore Family Office, LLC | Charlotte | $3.5 billion |
| Colony Family Offices, LLC | Charlotte | $3.4 billion |
| Smith Salley Wealth Management | Greensboro | $2.9 billion |
The five independent RIAs nearest in regulatory assets with a main office in the same state.
Elsewhere
- Independent Advisor Alliance, LLC on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.onetreehilladvisors.com
- Independent RIAs in North Carolina
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.