# Newest independent RIAs in North Carolina

As of October 2, 2026, Mauney-Pitt Financial Management, Inc. ranked #1 in North Carolina in AdvisorIQ's ranking of newest independent RIAs, with $418.0 million.

As of: 2026-10-02
Address: https://advisoriq.com/ria/rankings/newest/north-carolina/

## Facts

- ranking: Newest independent RIAs
- how_it_is_computed: Firms whose current registration took effect in the 12 months before October 2, 2026, ranked by RAUM (firms with no RAUM rank last). The registration date is the SEC status effective date for SEC-registered firms, so a firm that moved from state to SEC registration counts as new to the SEC, and the earliest approved state registration for state-registered firms. 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.
- unit: usd
- scope: North Carolina
- firms_listed: 70
- rows: rank: 1, crd: 337870, firm: Mauney-Pitt Financial Management, Inc., city: Shelby, state: NC, value: 418000000, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/337870/; rank: 2, crd: 341458, firm: Gibert Wealth Management, city: Charlotte, state: NC, value: 315989002, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/341458/; rank: 3, crd: 340213, firm: Oak Harbor Wealth Partners, city: Raleigh, state: NC, value: 288419511, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/340213/; rank: 4, crd: 289485, firm: Safebridge LLC, city: Denver, state: NC, value: 205281096, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/289485/; rank: 5, crd: 297243, firm: BSG Advisers, city: Apex, state: NC, value: 134763000, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/297243/; rank: 6, crd: 329601, firm: Kucharo Wealth, city: Charlotte, state: NC, value: 123656801, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/329601/; rank: 7, crd: 302115, firm: Tolley Financial Group, LLC, city: Raleigh, state: NC, value: 121857197, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/302115/; rank: 8, crd: 118241, firm: West Financial Strategies, Inc., city: Sanford, state: NC, value: 121014544, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/118241/; rank: 9, crd: 146674, firm: TRG Capital Management, Inc., city: Raleigh, state: NC, value: 118233904, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/146674/; rank: 10, crd: 297449, firm: Passport Wealth Management, city: Cornelius, state: NC, value: 115333521, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/297449/; rank: 11, crd: 317324, firm: White Oak Wealth Partners, city: Raleigh, state: NC, value: 110460071, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/317324/; rank: 12, crd: 300246, firm: Hampel Investment Advisors, city: Greensboro, state: NC, value: 110132399, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/300246/; rank: 13, crd: 287632, firm: The Financial Legacy Group, city: Charlotte, state: NC, value: 107292807, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/287632/; rank: 14, crd: 304729, firm: Thayer Financial, L.L.C., city: Hickory, state: NC, value: 106449059, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/304729/; rank: 15, crd: 339616, firm: Piedmont Private Wealth, LLC, city: Raleigh, state: NC, value: 105000000, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/339616/; rank: 16, crd: 325857, firm: Sanctuary Financial Planning, LLC, city: Charlotte, state: NC, value: 102173006, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/325857/; rank: 17, crd: 336307, firm: Integrative Planning, Inc., city: Cornelius, state: NC, value: 101384621, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/336307/; rank: 18, crd: 306974, firm: Course Management Investment Advisors, LLC, city: Pinehurst, state: NC, value: 100326180, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/306974/; rank: 19, crd: 339109, firm: Heron Wealth LLC, city: Raleigh, state: NC, value: 16879549, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/339109/; rank: 20, crd: 341881, firm: Kairos RIA, LLC, city: Raleigh, state: NC, value: 16520000, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/341881/; rank: 21, crd: 340262, firm: Hyperion Management Holdings, LLC, city: Eden, state: NC, value: 2500000, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/340262/; rank: 22, crd: 338506, firm: Confiance Financial LLC, city: New Hill, state: NC, value: 2300000, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/338506/; rank: 23, crd: 338262, firm: Reyna Capital Advisors, LLC, city: Charlotte, state: NC, value: 2000000, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/338262/; rank: 24, crd: 338150, firm: Ataraxis Capital, LLC, city: Durham, state: NC, value: 982678, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/338150/; rank: 25, crd: 334894, firm: Adi Mahajan CPA PC, city: Research Triangle Park, state: NC, value: 283549, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/334894/; rank: 26, crd: 338574, firm: Hammond Wealth Partners, city: Gastonia, state: NC, value: 4392, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/338574/; rank: 27, crd: 330609, firm: Findicia, Inc., city: Raleigh, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/330609/; rank: 27, crd: 332248, firm: Golden Pine Advisory, LLC, city: Pinehurst, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/332248/; rank: 27, crd: 334540, firm: Njord Capital, LLC, city: Charlotte, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/334540/; rank: 27, crd: 338143, firm: Three Phases Wealth Advisors LLC, city: Indian Trail, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/338143/; rank: 27, crd: 338540, firm: Just Advising, city: Raleigh, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/338540/; rank: 27, crd: 338702, firm: Azimuth Planning Group, LLC, city: Chapel Hill, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/338702/; rank: 27, crd: 339127, firm: BFWM LLC, city: Holly Springs, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/339127/; rank: 27, crd: 339356, firm: Cima Financial, city: Raleigh, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/339356/; rank: 27, crd: 339421, firm: Investorbloc, city: Charlotte, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/339421/; rank: 27, crd: 339433, firm: Alohana Financial, LLC, city: Durham, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/339433/; rank: 27, crd: 339500, firm: Cameron Signature Wealth Advisors LLC, city: Charlotte, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/339500/; rank: 27, crd: 339503, firm: Soseki Wealth Management, LLC, city: Winston-Salem, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/339503/; rank: 27, crd: 339595, firm: Aerden LLC, city: Huntersville, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/339595/; rank: 27, crd: 339701, firm: Creekside Financial Planning, L.L.C., city: Bath, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/339701/; rank: 27, crd: 339725, firm: Awaken Financial Designs LLC, city: Cary, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/339725/; rank: 27, crd: 339796, firm: Mittelman Jones Tax & Wealth, city: Winston Salem, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/339796/; rank: 27, crd: 339812, firm: Strategic Wealth Management LLC, city: Lillington, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/339812/; rank: 27, crd: 339941, firm: Rickard Investment Consulting, LLC, city: Concord, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/339941/; rank: 27, crd: 340396, firm: Deliberate Wealth, city: Advance, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/340396/; rank: 27, crd: 340406, firm: Allied Oak Wealth, LLC, city: Cornelius, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/340406/; rank: 27, crd: 340416, firm: Hanafara, city: Raleigh, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/340416/; rank: 27, crd: 340418, firm: Scott Braddock Financial,llc, city: Raleigh, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/340418/; rank: 27, crd: 340610, firm: Extraordinary Kale LLC, city: Lincolnton, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/340610/; rank: 27, crd: 340823, firm: Testament Wealth Management, city: Cary, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/340823/; rank: 27, crd: 341288, firm: Top Rank Wealth Management, LLC, city: Raleigh, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/341288/; rank: 27, crd: 341677, firm: Rock Financial Planning, LLC, city: Wilmington, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/341677/; rank: 27, crd: 341889, firm: Wholestory Wealth LLC, city: Greensboro, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/341889/; rank: 27, crd: 342075, firm: Castle Wealth Group, city: Mooresville, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/342075/; rank: 27, crd: 342438, firm: High Rock Wealth Management, city: Waxhaw, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/342438/; rank: 27, crd: 342701, firm: Anchor Point Financial Planning LLC, city: West End, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/342701/; rank: 27, crd: 342848, firm: Olde Raleigh Financial Group, city: Raleigh, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/342848/; rank: 27, crd: 342849, firm: Oakley Private Wealth, city: Marvin, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/342849/; rank: 27, crd: 342893, firm: Ridgestone Wealth, city: Greensboro, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/342893/; rank: 27, crd: 343048, firm: Brian Apple Retirement Planning LLC, city: Hampstead, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/343048/; rank: 27, crd: 343106, firm: Astrelle Capital LLC, city: Raleigh, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/343106/; rank: 27, crd: 343127, firm: Mansa Wealth Advisory, LLC, city: Charlotte, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/343127/; rank: 27, crd: 343232, firm: Sounding Line Wealth Management, LLC, city: Durham, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/343232/; rank: 27, crd: 343467, firm: Present Day Financial Planning, LLC, city: Charlotte, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/343467/; rank: 27, crd: 343531, firm: Miller Wealth Partners, city: Mint Hill, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/343531/; rank: 27, crd: 343540, firm: Capital Consulting & Investment Group LLC, city: Durham, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/343540/; rank: 27, crd: 343751, firm: Autumn Branch Capital, LLC, city: Statesville, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/343751/; rank: 27, crd: 343891, firm: East Franklin Capital, city: Wilmington, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/343891/; rank: 27, crd: 344007, firm: Prudent Harbor Advisors, city: Broadway, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/344007/; rank: 27, crd: 344083, firm: Duncan, Matthew William, city: Winston Salem, state: NC, value: 0, base_value: not stated, succeeded_to_another_advisers_business: false, url: https://advisoriq.com/ria/firms/344083/

## Notes

- Firms marked as successors reported on Form ADV Item 4 that they succeeded to another adviser's business; their growth is shown as reported.
- Each ranking lists at most the top 100 firms.

## Sources

- SEC, Information About Registered Investment Advisers (ia100226.zip), checked 2026-10-07: https://www.sec.gov/files/investment/data/other/information-about-registered-investment-advisers-exempt-reporting-advisers/ia100226.zip
- IAPD compilation reports (IA_FIRM_STATE_Feed_10_07_2026.xml.gz), checked 2026-10-07: https://adviserinfo.sec.gov/compilation

## Related

- [Newest independent RIAs, nationally](https://advisoriq.com/ria/rankings/newest/)
- [RIA market data for North Carolina](https://advisoriq.com/ria/states/north-carolina/)
- [All RIA rankings](https://advisoriq.com/ria/rankings/)
- [How the directory is built](https://advisoriq.com/ria/methodology/)

## Cite as

AdvisorIQ, as of 2026-10-02. https://advisoriq.com/ria/rankings/newest/north-carolina/

License: https://advisoriq.com/license/