Ranking, North Carolina

Wealth firms with the most CFP professionals, including broker-dealer firms in North Carolina

As of October 2, 2026, Independent Advisor Alliance, LLC ranked #1 in North Carolina in AdvisorIQ's ranking of wealth firms with the most CFP professionals, including broker-dealer firms, with 73.

Showing all wealth firms, including wirehouses and broker-dealer firms. Independent RIAs only

Firms ranked by the number of people with a current investment adviser representative registration at the firm whose IAPD record lists the Certified Financial Planner designation, from the SEC's IAPD individual file of October 7, 2026. Only designations the SEC records in IAPD are counted. SEC-registered and state-registered firms are both ranked. Independent wealth management RIAs are ranked: firms whose individual and high net worth clients hold at least half of their regulatory assets and that offer financial planning or portfolio management for individuals, leaving out broker-dealers, banks and their advisory arms. The all wealth firms view ranks the same way with those broker-dealer affiliated firms added. Asset managers, private fund managers, pension consultants and platform managers are never ranked (see the methodology). State lists use each firm's main office state, or its registration state when the main office is not public. The US list leaves out firms whose main office is outside the United States. Equal values share a rank and are listed by CRD number.

Wealth firms with the most CFP professionals, including broker-dealer firms in North Carolina
Rank	Firm	City	Most CFP professionals
1	Independent Advisor Alliance, LLC	Charlotte	73
2	First Citizens Investor Services, Inc. Broker-dealer affiliated: A wealth firm that is, or is part of, a broker-dealer or a bank: a wirehouse, a broker-dealer or its advisory arm, or a bank's. It appears in the all wealth firms view, not in the main lists of independent RIAs.	Raleigh	48
3	Credit Union Investment Services Broker-dealer affiliated: A wealth firm that is, or is part of, a broker-dealer or a bank: a wirehouse, a broker-dealer or its advisory arm, or a bank's. It appears in the all wealth firms view, not in the main lists of independent RIAs.	Raleigh	30
4	Capital Investment Advisory Services, LLC Broker-dealer affiliated: A wealth firm that is, or is part of, a broker-dealer or a bank: a wirehouse, a broker-dealer or its advisory arm, or a bank's. It appears in the all wealth firms view, not in the main lists of independent RIAs.	Raleigh	19
5	Financial Symmetry Inc.	Raleigh	14
6	Cornerstone Wealth	Huntersville	13
6	Guardian Wealth Advisors, LLC	Raleigh	13
8	Alphastar Capital Management	Cornelius	12
9	Bragg Financial Advisors Inc	Charlotte	10
9	Novare Capital Management	Charlotte	10
11	Smith Salley Wealth Management	Greensboro	9
11	First Citizens Asset Management, Inc Broker-dealer affiliated: A wealth firm that is, or is part of, a broker-dealer or a bank: a wirehouse, a broker-dealer or its advisory arm, or a bank's. It appears in the all wealth firms view, not in the main lists of independent RIAs.	Raleigh	9
11	Hilltop Wealth Advisors, LLC	Chapel Hill	9
11	Blueprint Financial Advisors Broker-dealer affiliated: A wealth firm that is, or is part of, a broker-dealer or a bank: a wirehouse, a broker-dealer or its advisory arm, or a bank's. It appears in the all wealth firms view, not in the main lists of independent RIAs.	Charlotte	9
15	Alpha Financial Advisors, LLC	Charlotte	8
15	Old Peak Finance	Chapel Hill	8
15	Verum Partners LLC	Charlotte	8
15	IP Financial Advisory Services LLC	Charlotte	8
15	SLP Wealth	Durham	8
20	Woodward Financial Advisors, Inc.	Chapel Hill	6
20	Verity Asset Management	Durham	6
20	Alight Financial Advisors, LLC Broker-dealer affiliated: A wealth firm that is, or is part of, a broker-dealer or a bank: a wirehouse, a broker-dealer or its advisory arm, or a bank's. It appears in the all wealth firms view, not in the main lists of independent RIAs.	Charlotte	6
23	Bluesky Wealth Advisors, LLC	New Bern	5
23	Founders Financial Alliance, LLC	Raleigh	5
23	Fortress Private Ledger, LLC Broker-dealer affiliated: A wealth firm that is, or is part of, a broker-dealer or a bank: a wirehouse, a broker-dealer or its advisory arm, or a bank's. It appears in the all wealth firms view, not in the main lists of independent RIAs.	Raleigh	5
23	Beacon Wealthcare LLC	Raleigh	5
23	Peace of Mind Wealth Management	Raleigh	5
23	Family Wealth Partners, LLC	Matthews	5
29	Arbor Investment Advisors	Winston Salem	4
29	Colton Groome Financial Advisors, LLC	Asheville	4
29	Armor Investment Advisors, LLC	Raleigh	4
29	Strathmore Capital Advisors	Charlotte	4
29	Ascendor Wealth, LLC	Wilmington	4
29	Raleigh Capital Management Inc.	Cary	4
29	Aspire Private Capital	Cornelius	4
29	Planvision, LLC	Fuquay-Varina	4
29	Cornerstone Wealth Planning	Charlotte	4
29	Hobart Wealth	Charlotte	4
29	Providence Capital Advisors, LLC	Charlotte	4
29	Provision Wealth Management, Inc	Raleigh	4
29	Absher Wealth Management, LLC	Chapel Hill	4
29	MBL Advisors	Charlotte	4
29	Tradewinds, LLC	Raleigh	4
44	Franklin Street Advisors Inc. Broker-dealer affiliated: A wealth firm that is, or is part of, a broker-dealer or a bank: a wirehouse, a broker-dealer or its advisory arm, or a bank's. It appears in the all wealth firms view, not in the main lists of independent RIAs.	Chapel Hill	3
44	Holderness Investments Co	Greensboro	3
44	Carolina Financial Advisors, Inc.	Greensboro	3
44	WMS Advisors, LLC	Charlotte	3
44	Modern Capital Advisors, LLC Broker-dealer affiliated: A wealth firm that is, or is part of, a broker-dealer or a bank: a wirehouse, a broker-dealer or its advisory arm, or a bank's. It appears in the all wealth firms view, not in the main lists of independent RIAs.	Raleigh	3
44	Beacon Financial Strategies Corp.	Raleigh	3
44	Omnistar Financial Group, Inc.	Wilmington	3
44	Lifeplan Group	Raleigh	3
44	Hamilton Point Investment Advisors, LLC	Chapel Hill	3
44	A4 Wealth Advisors LLC	Huntersville	3
44	Tilia Fiduciary Partners, Inc.	Wilmington	3
44	Sycamore Financial Planning, LLC	Durham	3
44	Clearview Wealth Management	Charlotte	3
44	Biltmore Family Office, LLC	Charlotte	3
44	Ark Royal Wealth Management LLC	Raleigh	3
44	Greenway Wealth Advisors, LLC	Charlotte	3
44	Live Oak Private Wealth, LLC Broker-dealer affiliated: A wealth firm that is, or is part of, a broker-dealer or a bank: a wirehouse, a broker-dealer or its advisory arm, or a bank's. It appears in the all wealth firms view, not in the main lists of independent RIAs.	Wilmington	3
44	Crown Wealth Group LLC	Charlotte	3
44	Level Wealth Management LLC	Greensboro	3
44	Topsail Wealth Management LLC	Charlotte	3
44	Pursuit Wealth Strategies, LLC	Raleigh	3
65	Dreher Financial Partners	Southern Pines	2
65	Sheets Smith Wealth Management	Winston Salem	2
65	Whitener Capital Management, Inc	Rocky Mount	2
65	Cardinal Capital Management Inc	Raleigh	2
65	Woodard & Co Asset Management Group Inc	Bermuda Run	2
65	Kenneth Frenke & Co	Arden	2
65	CP Advisors, Inc.	Clinton	2
65	Frazier Financial Consultants, LLC	Chapel Hill	2
65	Phoenix Wealth Advisors Inc.	Chapel Hill	2
65	Laurel Wealth Advisors, LLC	Charlotte	2
65	Opus Financial Advisors, Inc.	Statesville	2
65	Strategic Planning Corporation	Colfax	2
65	Tricapital Wealth Management, Inc.	Charlotte	2
65	Sapere Wealth Management, LLC	Matthews	2
65	Tassel Capital Management, Inc	Matthews	2
65	Holcombe & McGrath	Asheville	2
65	Sound Financial Management, Inc.	Raleigh	2
65	Blue Water Capital Management, LLC	Apex	2
65	Horizons Wealth Management	Asheville	2
65	Allen Wealth Management, LLC	Boone	2
65	Wells Fargo Investment Institute, Inc. Broker-dealer affiliated: A wealth firm that is, or is part of, a broker-dealer or a bank: a wirehouse, a broker-dealer or its advisory arm, or a bank's. It appears in the all wealth firms view, not in the main lists of independent RIAs.	Charlotte	2
65	Semmax Financial Advisors, Inc.	Winston-Salem	2
65	Masonboro Advisors	Wilmington	2
65	Old North State Wealth Management, LLC	Wilmington	2
65	Tarheel Advisors, LLC	Chapel Hill	2
65	The Journeys Group, Inc.	Winterville	2
65	Calamita Wealth Management	Charlotte	2
65	Marquise Wealth Management, LLC	Charlotte	2
65	Cardinal Retirement Planning, Inc.	Durham	2
65	Colony Family Offices, LLC	Charlotte	2
65	Resolved Financial	Winston Salem	2
65	Ally Invest Advisors Broker-dealer affiliated: A wealth firm that is, or is part of, a broker-dealer or a bank: a wirehouse, a broker-dealer or its advisory arm, or a bank's. It appears in the all wealth firms view, not in the main lists of independent RIAs.	Charlotte	2
65	Realm Investment Consulting LLC	Cary	2
65	Act Advisors	Asheville	2
65	Dolan Capital Advisors, LLC	Charlotte	2
65	Ridgeline Wealth Advisors, LLC.	Raleigh	2
65	Linden Thomas Advisory Services, LLC	Charlotte	2
65	Adaptfirst Investments LLC	Kernersville	2
65	Cannon Advisors	Charlotte	2
65	BSG Advisers	Apex	2
65	Passport Wealth Management	Cornelius	2
65	Financial Transparency	Greensboro	2
65	Portus Wealth Advisors, LLC	Charlotte	2
65	Thayer Financial, L.L.C.	Hickory	2
65	Fortitude Financial Planning LLC	Willow Spring	2
65	Dovetail Financial Group LLC	Wilmington	2
65	Mill Capital Management, LLC	Concord	2
65	H. L. Ormond & Company, LLC	Greenville	2
65	Strategic Advisory Partners	Greensboro	2
65	Muirfield Wealth Advisors LLC	Charlotte	2
65	Sparta Wealth Partners	Charlotte	2
65	Joel Adams and Associates Inc.	Asheville	2
65	Hicks & Associates Wealth Management, LLC	Cary	2
65	Bolin Creek Wealth Advisors LLC	Chapel Hill	2
65	The Pines Wealth Management, LLC	Southern Pines	2
65	Totem Wealth Management LLC	Charlotte	2
65	Counterweight Private Wealth	Wilmington	2
65	Piecapital	Raleigh	2
65	Cadence Wealth Partners, LLC	Concord	2
65	Blue Financial	Charlotte	2
65	Sledge and Company Wealth Advisors	High Point	2
65	Hanover Square Wealth Advisors LLC	King	2
65	Eqv Advisory, LLC	Raleigh	2
65	Oak Harbor Wealth Partners	Raleigh	2

Showing the top 100. Figures are as firms reported them on Form ADV.

More rankings

Most CFP professionals by state

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.