# Independent RIAs in North Carolina

As of October 2, 2026, 608 independent wealth management RIAs based in North Carolina reported $134.3 billion in regulatory assets under management; the largest by assets was Independent Advisor Alliance, LLC, with $17.2 billion.

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

## Facts

- state: North Carolina
- code: NC
- population: Independent wealth management RIAs: 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. Asset managers, private fund managers and pension consultants are not in the directory.
- latest: independent: accounts: 288627, firms: 608, median_raum: 60820583.5, raum: 134268418578, advisory_employees: 2074, avg_account: 465197.014063133, band_100m_250m: 104, band_100m_250m_raum: 16615542248, band_10b_plus: 1, band_10b_plus_raum: 17233280665, band_1b_5b: 30, band_1b_5b_raum: 55072026902, band_250m_500m: 54, band_250m_500m_raum: 19827345034, band_500m_1b: 26, band_500m_1b_raum: 16994113720, band_5b_10b: 0, band_5b_10b_raum: 0, band_lt100m: 311, band_lt100m_raum: 8526110009, bd_affiliated_share: 0.0131578947368421, cfp_professionals: 666, clients: 175158, custody_share: 0.273026315789474, employees: 2744, fee_aum_pct_share: 0.914473684210526, fee_commissions_share: 0.0213815789473684, fee_fixed_share: 0.666118421052632, fee_hourly_share: 0.539473684210526, fee_other_share: 0.0625, fee_performance_share: 0.0345394736842105, fee_subscription_share: 0.00986842105263158, financial_planning_share: 0.833881578947368, firms_with_raum: 526, iars: 2157, mean_raum: 255263153.190114, new_firms: 70, p25_raum: 13150987.5, p75_raum: 199084778, p90_raum: 539087253, raum_discretionary: 126134797190, top100_share: 0.790548066933083, top10_share: 0.338568442902987, independent_sec: accounts: 256360, firms: 216, median_raum: 280834867.5, raum: 124971256221, advisory_employees: 1574, avg_account: 487483.446017319, band_100m_250m: 96, band_100m_250m_raum: 15780794919, band_10b_plus: 1, band_10b_plus_raum: 17233280665, band_1b_5b: 30, band_1b_5b_raum: 55072026902, band_250m_500m: 54, band_250m_500m_raum: 19827345034, band_500m_1b: 26, band_500m_1b_raum: 16994113720, band_5b_10b: 0, band_5b_10b_raum: 0, band_lt100m: 1, band_lt100m_raum: 63694981, bd_affiliated_share: 0.037037037037037, cfp_professionals: 503, clients: 152890, custody_share: 0.578703703703704, employees: 2148, fee_aum_pct_share: 0.953703703703704, fee_commissions_share: 0.0185185185185185, fee_fixed_share: 0.740740740740741, fee_hourly_share: 0.550925925925926, fee_other_share: 0.0648148148148148, fee_performance_share: 0.0231481481481481, fee_subscription_share: 0.00462962962962963, financial_planning_share: 0.930555555555556, firms_with_raum: 208, iars: 1677, mean_raum: 600823347.216346, new_firms: 23, p25_raum: 165911982.5, p75_raum: 568290584, p90_raum: 1226159198.5, raum_discretionary: 117762744043, raum_growth_1y: 0.443951121495504, successions: 0, top100_share: 0.849360420681787, top10_share: 0.363756041058033, state: accounts: 32267, firms: 392, median_raum: 19250884, raum: 9297162357, advisory_employees: 500, avg_account: 288132.220441938, band_100m_250m: 8, band_100m_250m_raum: 834747329, band_10b_plus: 0, band_10b_plus_raum: 0, band_1b_5b: 0, band_1b_5b_raum: 0, band_250m_500m: 0, band_250m_500m_raum: 0, band_500m_1b: 0, band_500m_1b_raum: 0, band_5b_10b: 0, band_5b_10b_raum: 0, band_lt100m: 310, band_lt100m_raum: 8462415028, bd_affiliated_share: 0, cfp_professionals: 163, clients: 22268, custody_share: 0.104591836734694, employees: 596, fee_aum_pct_share: 0.892857142857143, fee_commissions_share: 0.0229591836734694, fee_fixed_share: 0.625, fee_hourly_share: 0.533163265306122, fee_other_share: 0.0612244897959184, fee_performance_share: 0.0408163265306122, fee_subscription_share: 0.0127551020408163, financial_planning_share: 0.780612244897959, firms_with_raum: 318, iars: 480, mean_raum: 29236359.6132075, new_firms: 47, p25_raum: 6895796, p75_raum: 46741864, p90_raum: 75150000, raum_discretionary: 8372053147, top100_share: 0.704330616649895, top10_share: 0.110839396950417
- broker_dealer_affiliated_not_included: firms: 25, raum: 94227566695
- series: firms: segment: independent_sec, unit: count, points: as_of: 2018-10-01, value: 122; as_of: 2019-10-01, value: 123; as_of: 2020-10-01, value: 132; as_of: 2021-10-04, value: 147; as_of: 2022-10-03, value: 158; as_of: 2023-10-05, value: 155; as_of: 2024-10-01, value: 164; as_of: 2025-09-02, value: 174; as_of: 2026-10-02, value: 216, raum: segment: independent_sec, unit: usd, points: as_of: 2018-10-01, value: 73441976241; as_of: 2019-10-01, value: 75559797363; as_of: 2020-10-01, value: 88674868026; as_of: 2021-10-04, value: 70027779332; as_of: 2022-10-03, value: 83331265701; as_of: 2023-10-05, value: 73767683815; as_of: 2024-10-01, value: 89213598473; as_of: 2025-09-02, value: 86548120889; as_of: 2026-10-02, value: 124971256221, accounts: segment: independent_sec, unit: count, points: as_of: 2018-10-01, value: 321847; as_of: 2019-10-01, value: 355825; as_of: 2020-10-01, value: 360178; as_of: 2021-10-04, value: 169618; as_of: 2022-10-03, value: 185320; as_of: 2023-10-05, value: 191045; as_of: 2024-10-01, value: 210911; as_of: 2025-09-02, value: 182013; as_of: 2026-10-02, value: 256360, median_raum: segment: independent_sec, unit: usd, points: as_of: 2018-10-01, value: 226439872; as_of: 2019-10-01, value: 232632419; as_of: 2020-10-01, value: 266433825; as_of: 2021-10-04, value: 273100443; as_of: 2022-10-03, value: 275435885.5; as_of: 2023-10-05, value: 265103935; as_of: 2024-10-01, value: 279661224; as_of: 2025-09-02, value: 295619285; as_of: 2026-10-02, value: 280834867.5
- top_10: largest: rank: 1, crd: 168267, firm: Independent Advisor Alliance, LLC, city: Charlotte, value: 17233280665; rank: 2, crd: 108780, firm: Bragg Financial Advisors Inc, city: Charlotte, value: 4671122824; rank: 3, crd: 104855, firm: Salem Investment Counselors Inc, city: Winston Salem, value: 4188070791; rank: 4, crd: 167174, firm: Biltmore Family Office, LLC, city: Charlotte, value: 3467117434; rank: 5, crd: 167017, firm: Colony Family Offices, LLC, city: Charlotte, value: 3362394020; rank: 6, crd: 129614, firm: Smith Salley Wealth Management, city: Greensboro, value: 2893493810; rank: 7, crd: 305412, firm: Guardian Wealth Advisors, LLC, city: Raleigh, value: 2743175603; rank: 8, crd: 157423, firm: Alphastar Capital Management, city: Cornelius, value: 2496202761; rank: 9, crd: 289971, firm: Cornerstone Wealth, city: Huntersville, value: 2487042824; rank: 10, crd: 117949, firm: Novare Capital Management, city: Charlotte, value: 1917148677, fastest-growing: rank: 1, crd: 135008, firm: Strathmore Capital Advisors, city: Charlotte, value: 0.765770382457583; rank: 2, crd: 119598, firm: Sapere Wealth Management, LLC, city: Matthews, value: 0.746957226331299; rank: 3, crd: 128365, firm: Colton Groome Financial Advisors, LLC, city: Asheville, value: 0.632573383539023; rank: 4, crd: 299732, firm: Crown Wealth Group LLC, city: Charlotte, value: 0.587094643344603; rank: 5, crd: 314842, firm: Strategic Advisory Partners, city: Greensboro, value: 0.540552545795798; rank: 6, crd: 312929, firm: Integrated Wealthcare, LLC, city: Durham, value: 0.505686736225882; rank: 7, crd: 333090, firm: Beacon Capital Advisory Group, city: Charlotte, value: 0.473388082494576; rank: 8, crd: 330324, firm: Blue Financial, city: Charlotte, value: 0.444974417784104; rank: 9, crd: 144157, firm: Lifeplan Group, city: Raleigh, value: 0.366203948943694; rank: 10, crd: 157423, firm: Alphastar Capital Management, city: Cornelius, value: 0.355781515475803, fastest-growing-3-year: rank: 1, crd: 157852, firm: Tilia Fiduciary Partners, Inc., city: Wilmington, value: 0.416805604476751; rank: 2, crd: 316415, firm: Tradewinds, LLC, city: Raleigh, value: 0.395739973892284; rank: 3, crd: 128365, firm: Colton Groome Financial Advisors, LLC, city: Asheville, value: 0.369422369712211; rank: 4, crd: 301058, firm: Verum Partners LLC, city: Charlotte, value: 0.364788174383347; rank: 5, crd: 299732, firm: Crown Wealth Group LLC, city: Charlotte, value: 0.351136816818933; rank: 6, crd: 317764, firm: Family Wealth Partners, LLC, city: Matthews, value: 0.350332863789809; rank: 7, crd: 144157, firm: Lifeplan Group, city: Raleigh, value: 0.34904885533412; rank: 8, crd: 135008, firm: Strathmore Capital Advisors, city: Charlotte, value: 0.329321422925423; rank: 9, crd: 289971, firm: Cornerstone Wealth, city: Huntersville, value: 0.305222618683819; rank: 10, crd: 283153, firm: Sjbenen Advisory, LLC, city: Durham, value: 0.296919240815325, fastest-growing-5-year: rank: 1, crd: 305412, firm: Guardian Wealth Advisors, LLC, city: Raleigh, value: 0.789589717523255; rank: 2, crd: 299732, firm: Crown Wealth Group LLC, city: Charlotte, value: 0.351220173737942; rank: 3, crd: 305772, firm: IP Financial Advisory Services LLC, city: Charlotte, value: 0.332181285751035; rank: 4, crd: 301058, firm: Verum Partners LLC, city: Charlotte, value: 0.312370999011624; rank: 5, crd: 128365, firm: Colton Groome Financial Advisors, LLC, city: Asheville, value: 0.308608616098991; rank: 6, crd: 166886, firm: Cornerstone Wealth Planning, city: Charlotte, value: 0.290300301788519; rank: 7, crd: 149538, firm: Raleigh Capital Management Inc., city: Cary, value: 0.275429323102604; rank: 8, crd: 157852, firm: Tilia Fiduciary Partners, Inc., city: Wilmington, value: 0.270366812403992; rank: 9, crd: 158864, firm: Tagstone Capital, Inc., city: Charlotte, value: 0.255691335780494; rank: 10, crd: 157423, firm: Alphastar Capital Management, city: Cornelius, value: 0.254136985361038, biggest-asset-gains: rank: 1, crd: 168267, firm: Independent Advisor Alliance, LLC, city: Charlotte, value: 3159136986; rank: 2, crd: 108780, firm: Bragg Financial Advisors Inc, city: Charlotte, value: 766755217; rank: 3, crd: 305412, firm: Guardian Wealth Advisors, LLC, city: Raleigh, value: 691658078; rank: 4, crd: 157423, firm: Alphastar Capital Management, city: Cornelius, value: 655048613; rank: 5, crd: 129614, firm: Smith Salley Wealth Management, city: Greensboro, value: 549305825; rank: 6, crd: 289971, firm: Cornerstone Wealth, city: Huntersville, value: 378700684; rank: 7, crd: 167017, firm: Colony Family Offices, LLC, city: Charlotte, value: 372934408; rank: 8, crd: 135008, firm: Strathmore Capital Advisors, city: Charlotte, value: 349123343; rank: 9, crd: 104855, firm: Salem Investment Counselors Inc, city: Winston Salem, value: 343297780; rank: 10, crd: 118443, firm: Financial Symmetry Inc., city: Raleigh, value: 329978998, most-clients: rank: 1, crd: 168267, firm: Independent Advisor Alliance, LLC, city: Charlotte, value: 45535; rank: 2, crd: 166311, firm: Planvision, LLC, city: Fuquay-Varina, value: 14740; rank: 3, crd: 157423, firm: Alphastar Capital Management, city: Cornelius, value: 8553; rank: 4, crd: 158667, firm: Verity Asset Management, city: Durham, value: 5843; rank: 5, crd: 325631, firm: SLP Wealth, city: Durham, value: 3446; rank: 6, crd: 289971, firm: Cornerstone Wealth, city: Huntersville, value: 2556; rank: 7, crd: 173011, firm: Founders Financial Alliance, LLC, city: Raleigh, value: 2413; rank: 8, crd: 305412, firm: Guardian Wealth Advisors, LLC, city: Raleigh, value: 2262; rank: 9, crd: 305772, firm: IP Financial Advisory Services LLC, city: Charlotte, value: 2001; rank: 10, crd: 108199, firm: Woodard & Co Asset Management Group Inc, city: Bermuda Run, value: 1832, client-growth: rank: 1, crd: 166311, firm: Planvision, LLC, city: Fuquay-Varina, value: 1.32712346068835; rank: 2, crd: 118519, firm: Physicians Financial Services, Inc., city: Raleigh, value: 0.981981981981982; rank: 3, crd: 135008, firm: Strathmore Capital Advisors, city: Charlotte, value: 0.739583333333333; rank: 4, crd: 110592, firm: Gragg Financial, city: Shelby, value: 0.453333333333333; rank: 5, crd: 328786, firm: Independent Wealth Advisors, LLC, city: Cary, value: 0.443850267379679; rank: 6, crd: 128365, firm: Colton Groome Financial Advisors, LLC, city: Asheville, value: 0.415902140672783; rank: 7, crd: 106865, firm: Whitener Capital Management, Inc, city: Rocky Mount, value: 0.406611570247934; rank: 8, crd: 330324, firm: Blue Financial, city: Charlotte, value: 0.378723404255319; rank: 9, crd: 325631, firm: SLP Wealth, city: Durham, value: 0.37564870259481; rank: 10, crd: 317067, firm: Peace of Mind Wealth Management, city: Raleigh, value: 0.359504132231405, most-accounts: rank: 1, crd: 168267, firm: Independent Advisor Alliance, LLC, city: Charlotte, value: 45002; rank: 2, crd: 157423, firm: Alphastar Capital Management, city: Cornelius, value: 15795; rank: 3, crd: 158667, firm: Verity Asset Management, city: Durham, value: 7603; rank: 4, crd: 288557, firm: Linden Thomas Advisory Services, LLC, city: Charlotte, value: 7111; rank: 5, crd: 305412, firm: Guardian Wealth Advisors, LLC, city: Raleigh, value: 5387; rank: 6, crd: 118443, firm: Financial Symmetry Inc., city: Raleigh, value: 5370; rank: 7, crd: 173011, firm: Founders Financial Alliance, LLC, city: Raleigh, value: 4229; rank: 8, crd: 129614, firm: Smith Salley Wealth Management, city: Greensboro, value: 3203; rank: 9, crd: 104855, firm: Salem Investment Counselors Inc, city: Winston Salem, value: 3120; rank: 10, crd: 174631, firm: Providence Capital Advisors, LLC, city: Charlotte, value: 2745, most-advisory-staff: rank: 1, crd: 168267, firm: Independent Advisor Alliance, LLC, city: Charlotte, value: 247; rank: 2, crd: 157423, firm: Alphastar Capital Management, city: Cornelius, value: 130; rank: 3, crd: 305772, firm: IP Financial Advisory Services LLC, city: Charlotte, value: 112; rank: 4, crd: 158667, firm: Verity Asset Management, city: Durham, value: 54; rank: 5, crd: 289971, firm: Cornerstone Wealth, city: Huntersville, value: 50; rank: 6, crd: 173011, firm: Founders Financial Alliance, LLC, city: Raleigh, value: 31; rank: 7, crd: 305412, firm: Guardian Wealth Advisors, LLC, city: Raleigh, value: 30; rank: 8, crd: 117949, firm: Novare Capital Management, city: Charlotte, value: 18; rank: 9, crd: 297713, firm: Financial Transparency, city: Greensboro, value: 16; rank: 10, crd: 108780, firm: Bragg Financial Advisors Inc, city: Charlotte, value: 15, most-hnw-clients: rank: 1, crd: 168267, firm: Independent Advisor Alliance, LLC, city: Charlotte, value: 15578; rank: 2, crd: 166311, firm: Planvision, LLC, city: Fuquay-Varina, value: 5100; rank: 3, crd: 108780, firm: Bragg Financial Advisors Inc, city: Charlotte, value: 743; rank: 4, crd: 173011, firm: Founders Financial Alliance, LLC, city: Raleigh, value: 711; rank: 5, crd: 129614, firm: Smith Salley Wealth Management, city: Greensboro, value: 683; rank: 6, crd: 167017, firm: Colony Family Offices, LLC, city: Charlotte, value: 631; rank: 7, crd: 104855, firm: Salem Investment Counselors Inc, city: Winston Salem, value: 601; rank: 8, crd: 118443, firm: Financial Symmetry Inc., city: Raleigh, value: 546; rank: 9, crd: 118412, firm: Phoenix Wealth Advisors Inc., city: Chapel Hill, value: 545; rank: 10, crd: 305412, firm: Guardian Wealth Advisors, LLC, city: Raleigh, value: 474, most-cfp-professionals: rank: 1, crd: 168267, firm: Independent Advisor Alliance, LLC, city: Charlotte, value: 73; rank: 2, crd: 118443, firm: Financial Symmetry Inc., city: Raleigh, value: 14; rank: 3, crd: 289971, firm: Cornerstone Wealth, city: Huntersville, value: 13; rank: 3, crd: 305412, firm: Guardian Wealth Advisors, LLC, city: Raleigh, value: 13; rank: 5, crd: 157423, firm: Alphastar Capital Management, city: Cornelius, value: 12; rank: 6, crd: 108780, firm: Bragg Financial Advisors Inc, city: Charlotte, value: 10; rank: 6, crd: 117949, firm: Novare Capital Management, city: Charlotte, value: 10; rank: 8, crd: 129614, firm: Smith Salley Wealth Management, city: Greensboro, value: 9; rank: 8, crd: 283014, firm: Hilltop Wealth Advisors, LLC, city: Chapel Hill, value: 9; rank: 10, crd: 122545, firm: Alpha Financial Advisors, LLC, city: Charlotte, value: 8, newest: rank: 1, crd: 337870, firm: Mauney-Pitt Financial Management, Inc., city: Shelby, value: 418000000; rank: 2, crd: 341458, firm: Gibert Wealth Management, city: Charlotte, value: 315989002; rank: 3, crd: 340213, firm: Oak Harbor Wealth Partners, city: Raleigh, value: 288419511; rank: 4, crd: 289485, firm: Safebridge LLC, city: Denver, value: 205281096; rank: 5, crd: 297243, firm: BSG Advisers, city: Apex, value: 134763000; rank: 6, crd: 329601, firm: Kucharo Wealth, city: Charlotte, value: 123656801; rank: 7, crd: 302115, firm: Tolley Financial Group, LLC, city: Raleigh, value: 121857197; rank: 8, crd: 118241, firm: West Financial Strategies, Inc., city: Sanford, value: 121014544; rank: 9, crd: 146674, firm: TRG Capital Management, Inc., city: Raleigh, value: 118233904; rank: 10, crd: 297449, firm: Passport Wealth Management, city: Cornelius, value: 115333521
- cities: name: Charlotte, independent_rias: 120, raum: 51017037707, url: https://advisoriq.com/ria/states/north-carolina/charlotte/; name: Raleigh, independent_rias: 75, raum: 18948744384, url: https://advisoriq.com/ria/states/north-carolina/raleigh/; name: Winston Salem, independent_rias: 22, raum: 9976483453, url: https://advisoriq.com/ria/states/north-carolina/winston-salem/; name: Chapel Hill, independent_rias: 28, raum: 8759938709, url: https://advisoriq.com/ria/states/north-carolina/chapel-hill/; name: Greensboro, independent_rias: 28, raum: 7303488885, url: https://advisoriq.com/ria/states/north-carolina/greensboro/; name: Durham, independent_rias: 32, raum: 3931679690, url: https://advisoriq.com/ria/states/north-carolina/durham/; name: Cornelius, independent_rias: 7, raum: 3558390336, url: https://advisoriq.com/ria/states/north-carolina/cornelius/; name: Asheville, independent_rias: 15, raum: 3122368487, url: https://advisoriq.com/ria/states/north-carolina/asheville/; name: Huntersville, independent_rias: 12, raum: 2959096998, url: https://advisoriq.com/ria/states/north-carolina/huntersville/; name: Wilmington, independent_rias: 23, raum: 2721954766, url: https://advisoriq.com/ria/states/north-carolina/wilmington/; name: Concord, independent_rias: 7, raum: 1644640575, url: https://advisoriq.com/ria/states/north-carolina/concord/; name: Matthews, independent_rias: 10, raum: 1539622079, url: https://advisoriq.com/ria/states/north-carolina/matthews/; name: Greenville, independent_rias: 5, raum: 1537611816, url: https://advisoriq.com/ria/states/north-carolina/greenville/; name: Cary, independent_rias: 22, raum: 1421713083, url: https://advisoriq.com/ria/states/north-carolina/cary/; name: Southern Pines, independent_rias: 6, raum: 743235323, url: https://advisoriq.com/ria/states/north-carolina/southern-pines/; name: Mooresville, independent_rias: 9, raum: 674222662, url: https://advisoriq.com/ria/states/north-carolina/mooresville/; name: Apex, independent_rias: 8, raum: 578369045, url: https://advisoriq.com/ria/states/north-carolina/apex/; name: Pinehurst, independent_rias: 5, raum: 498120786, url: https://advisoriq.com/ria/states/north-carolina/pinehurst/; name: Fuquay-Varina, independent_rias: 6, raum: 455549781, url: https://advisoriq.com/ria/states/north-carolina/fuquay-varina/; name: Statesville, independent_rias: 6, raum: 213735148, url: https://advisoriq.com/ria/states/north-carolina/statesville/
- iar_ce_status: not adopted

## Notes

- Firms are placed in the state of their main office.
- History covers SEC-registered firms only, from October 2018.

## 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
- NASAA IAR CE map, checked 2026-10-05: https://www.nasaa.org/industry-resources/investment-advisers/investment-adviser-representative-continuing-education/iar-ce-map/

## Related

- [RIA market data by state](https://advisoriq.com/ria/states/)
- [Largest independent RIAs by assets under management in North Carolina](https://advisoriq.com/ria/rankings/largest/north-carolina/)
- [Fastest-growing independent RIAs over one year in North Carolina](https://advisoriq.com/ria/rankings/fastest-growing/north-carolina/)
- [Fastest-growing independent RIAs over three years in North Carolina](https://advisoriq.com/ria/rankings/fastest-growing-3-year/north-carolina/)
- [Fastest-growing independent RIAs over five years in North Carolina](https://advisoriq.com/ria/rankings/fastest-growing-5-year/north-carolina/)
- [IAR CE in North Carolina](https://advisoriq.com/ce/iar/north-carolina/)

## Cite as

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

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