RIA firms in North Carolina
4,430 RIA firms are registered or notice filed in North Carolina: 718 state registered and 3,712 federally registered. 473 are headquartered here.
Another 149 state registered advisers with no address on file are registered only in North Carolina. 13 exempt reporting advisers also file in North Carolina and are not counted as RIA firms. #17 of 52 by RIA firms headquartered.
The largest RIA firms headquartered in North Carolina, by adviser headcount.
| Firm | Advisers | Reported AUM | Registration | City |
|---|---|---|---|---|
| CAPTRUST | 943 | $1.2T | Federally registered | Raleigh |
| First Citizens Investor Services, Inc.also a Broker Dealer | 378 | $2.6B | Federally registered | Raleigh |
| Independent Advisor Alliance, LLC | 298 | $17.2B | Federally registered | Charlotte |
| Credit Union Investment Services | 252 | $111K | State registered | Raleigh |
| Alphastar Capital Management | 152 | $2.5B | Federally registered | Cornelius |
| IP Financial Advisory Services LLC | 129 | $481M | Federally registered | Charlotte |
| Capital Investment Advisory Services, LLC | 100 | $2.4B | Federally registered | Raleigh |
| Allspring Funds Management, LLC | 86 | $325B | Federally registered | Charlotte |
| Ally Invest Advisors | 82 | $1.7B | Federally registered | Charlotte |
| Alight Financial Advisors, LLC | 64 | $35.1B | Federally registered | Charlotte |
Most advisers based in North Carolina
Advisers registered and working in North Carolina, by firm, wherever the firm is headquartered.
Reported AUM
Of the RIA firms headquartered in North Carolina that report assets. Advisers each report the assets they manage, so assets one firm sub-advises for another are counted by both.
- Total reported
- $3T
- Firms reporting
- 428
- Median, federally registered
- $401M
- Median, state registered
- $30M
One firm reports 41% of North Carolina's reported AUM.
How they charge
Share of the 471 firms headquartered here that report their fees.
Who they serve
Share of the 426 firms headquartered here that report their client types.
Cities
RIA firms headquartered in each city.
Newly registered firms
RIA firms headquartered here, by the year they first registered.
Every firm, every rep, one record.
A registration lookup shows one firm or one person at a time. Accupoint connects them: each firm with its filings, its offices, its executives and every rep and adviser who works there, each of them on their own record across insurance, Broker Dealer and advisory data.
Size, registrations and practice
Reported AUM, accounts and employees where filed, registrations by state, fee structure, client types and services.
Executives and every rep
Executive officers and the reps and advisers at each firm, with their licenses, registrations and employment history.
Headquarters and branches
Where each firm is based and, for Broker Dealers, every branch office with the reps who work there.
Search, CRM, Claude and ChatGPT
Search and export firms and their people, push records to your CRM (ask which CRMs your account supports), or ask Accupoint from Claude or ChatGPT, in preview.
North Carolina RIA firms, answered.
How many RIA firms are registered in North Carolina?
4,430 RIA firms are registered or notice filed in North Carolina: 718 state registered and 3,712 federally registered. 473 are headquartered there.
Which RIA firms in North Carolina have the most advisers?
CAPTRUST (943 advisers), First Citizens Investor Services, Inc. (378 advisers) and Independent Advisor Alliance, LLC (298 advisers).
How much do RIA firms in North Carolina manage?
The 428 RIA firms headquartered in North Carolina that report assets report $3T in total. The median is $401M for federally registered firms and $30M for state registered firms.
What is the difference between state and federally registered RIA firms?
Smaller advisers register with the states where they work. Larger advisers register federally and notice file in the states where they have clients, so both appear here.
Can I send these firms to my CRM or ask about them from Claude or ChatGPT?
Yes, on a plan that includes them. Push records to your CRM (ask which CRMs your account supports), or ask Accupoint from Claude or ChatGPT, in preview.
Is Accupoint a government agency?
No. Accupoint is an independent data company, not a government agency and not a consumer reporting agency.
Registered or notice filed in North Carolina counts state registered firms and federally registered firms that notice file in the state; exempt reporting advisers are not counted as RIA firms. Headquartered means the firm's main office address. Reported AUM is as each firm reports it. Each firm is counted once.
Accupoint is an independent data company, not a government agency. Accupoint is not a consumer reporting agency.
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