State-registered independent wealth management RIA
Adaptfirst Investments LLC
As of its Form ADV filed March 17, 2026, Adaptfirst Investments LLC, a state-registered independent wealth management RIA in Kernersville, North Carolina, reported $107.8 million in regulatory assets under management across 913 accounts, ranking #200 among independent RIAs in North Carolina by assets.
Registration
- Main office
- Kernersville, NC
- Registration
- State-registered, Approved
- CRD number
- 289096
- SEC file number
- None (state-registered)
- Registered since
- August 9, 2017
- Latest Form ADV filing
- March 17, 2026
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 5
Key figures
- Regulatory assets under management
- $107.8 million
- Discretionary
- $107.1 million (99.4%)
- Non-discretionary
- $674,564
- Accounts
- 913 (912 discretionary)
- Clients
- 589, approximate as reported
- Employees
- 12
- Advisory staff
- 12 performing investment advisory functions
- Average account
- $118,069
- 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 | #7,662 | #200 | $107.8 million |
| Independent RIAs with the most clients | #1,840 | #40 | 589 |
| Independent RIAs with the most accounts | #2,845 | #80 | 913 |
| Independent RIAs with the most advisory staff | #875 | #18 | 12 |
| Independent RIAs with the most high net worth clients | #7,416 | #208 | 33 |
| Independent RIAs with the most CFP professionals | #1,937 | #55 | 2 |
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 7, 2026 | $107.8 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| Individuals (other than high net worth) 551 clients | $74.5 million | |
| High net worth individuals 33 clients | $33.3 million |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Subscription fees
- Fixed fees
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Publication of periodicals or newsletters
Financial planning clients (Item 5.H): 1-10.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Registered representative of a broker-dealer
- Insurance broker or agent
- Accountant or accounting firm
Financial industry affiliations (Item 7.A)
- Accountant or accounting firm
- Insurance company or agency
Custody (Item 9)
The firm reported custody of client cash or securities, $140.5 million in total.
Investment adviser representatives
- IARs registered with the firm
- 11
- Also registered through a broker-dealer
- 0
- Employees who are IARs (Form ADV 5.B(3))
- 12
Designations held by the firm's IARs: CFP 2, CFA 1.
Between 4 and 10 of the firm's 11 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 at least one disclosure question; our source does not give the count. 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 |
|---|---|---|
| Wessel Investment Counsel, L.L.C. | Asheville | $108.7 million |
| The Financial Legacy Group | Charlotte | $107.3 million |
| Eqv Advisory, LLC | Raleigh | $106.8 million |
| 30-40 Wealth Partners | Cornelius | $106.6 million |
| Thayer Financial, L.L.C. | Hickory | $106.4 million |
The five independent RIAs nearest in regulatory assets with a main office in the same state.
Elsewhere
- Adaptfirst Investments LLC on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.adaptfirst.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.