SEC-registered independent wealth management RIA
IP Financial Advisory Services LLC
As of its Form ADV filed June 30, 2026, IP Financial Advisory Services LLC, an SEC-registered independent wealth management RIA in Charlotte, North Carolina, reported $481.4 million in regulatory assets under management across 2,686 accounts, ranking #65 among independent RIAs in North Carolina by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 305772
- SEC file number
- 801-117481
- Registered since
- October 17, 2019
- Latest Form ADV filing
- June 30, 2026
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 28
Key figures
- Regulatory assets under management
- $481.4 million
- Discretionary
- $258.5 million (53.7%)
- Non-discretionary
- $222.9 million
- Accounts
- 2,686 (1,226 discretionary)
- Clients
- 2,001, approximate as reported
- Employees
- 112
- Advisory staff
- 112 performing investment advisory functions
- Average account
- $179,225
- Asset growth, 1 year
- 5.5% (from $456.1 million a year earlier)
- Asset growth, 3-year annual rate
- 24.3% (from $250.5 million three years earlier)
- Asset growth, 5-year annual rate
- 33.2% (from $114.7 million five years earlier)
- Client growth, 1 year
- -2.0% (from 2,041)
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 | #2,669 | #65 | $481.4 million |
| Fastest-growing independent RIAs over one year | #5,874 | #164 | 5.5%from $456.1 million |
| Fastest-growing independent RIAs over three years | #958 | #20 | 24.3%from $250.5 million |
| Fastest-growing independent RIAs over five years | #142 | #3 | 33.2%from $114.7 million |
| Independent RIAs with the biggest asset gains over one year | #5,068 | #133 | $25.3 million |
| Independent RIAs with the most clients | #436 | #9 | 2,001 |
| Independent RIAs with the fastest client growth over one year | #4,580 | #118 | -2.0%from 2,041 |
| Independent RIAs with the most accounts | #797 | #12 | 2,686 |
| Independent RIAs with the most advisory staff | #59 | #3 | 112 |
| Independent RIAs with the most CFP professionals | #384 | #10 | 8 |
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2020 | $70.9 million |
| October 4, 2021 | $114.7 million |
| October 3, 2022 | $240.7 million |
| October 5, 2023 | $250.5 million |
| October 1, 2024 | $297.0 million |
| September 2, 2025 | $456.1 million |
| October 2, 2026 | $481.4 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| Individuals (other than high net worth) 2,001 clients | $481.4 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
- Other
Financial planning clients (Item 5.H): 11-25.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Insurance broker or agent
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
- 133
- Also registered through a broker-dealer
- 113
- Employees who are IARs (Form ADV 5.B(3))
- 112
Designations held by the firm's IARs: CFP 8, ChFC 6, CFA 2, PFS 1.
Between 36 and 133 of the firm's 133 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 |
|---|---|---|
| Three Magnolias Financial Advisors | Winston Salem | $487.1 million |
| Cornerstone Wealth Planning | Charlotte | $485.9 million |
| The Pines Wealth Management, LLC | Southern Pines | $485.9 million |
| Physicians Financial Services, Inc. | Raleigh | $482.3 million |
| Townsend Asset Management Corp. | Raleigh | $479.6 million |
The five independent RIAs nearest in regulatory assets with a main office in the same state.
Elsewhere
- IP Financial Advisory Services LLC on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.ipfinancialservicesllc.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.