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Wealth Management Firms (RIAs) in Raleigh

47 wealth management firms are on this list. Of those that report regulatory assets on Form ADV, Guardian Wealth Advisors is the largest: $2.7 billion through Guardian Wealth Advisors, LLC (filed ).

First Citizens Investor Services follows with $2.6 billion. The 47 advisers counted report $23.1 billion together; the ten largest hold 61% of it, and half report less than $292 million.

Updated . Rechecked quarterly; next check . Figures read , as filed to .

Where the $23.1BN sitsThe 47 firms counted, by size. The bar is each size band's share of the combined dollars.
  1. $1BN to $5BN50%6 firms
  2. $500MM to $1BN11%4 firms
  3. Under $500MM39%37 firms

Latest Form ADV of each, filed Jan 2026 to Sep 2026. Read ; sources at the end of the page.

Wealth management firms listedList of November 2026; 45 are wealth managers and 2 are wealth managers with a broker-dealer
47
Combined assets47 counted; as filed to Sep 2026
$23.1BN
Largest: Guardian Wealth AdvisorsAs filed
$2.7BN
Median firmHalf of the 47 report less
$292MM
Held by the ten largestOf the $23.1BN combined
61%

Guardian Wealth Advisors, First Citizens Investor Services and Capital Investment Advisory Services lead the Raleigh wealth management firms by assets

The twenty largest by regulatory assets on their latest Form ADV. Together they report $18.1BN, 79% of the $23.1BN the 47 counted report.

  1. 1

    Guardian Wealth Advisors

    Wealth manager, Raleigh, NC

    $2.7BNRegulatory assets, Mar 2026

    56% high net worth, 27% pension plans, 16% other individuals

    Individual clients
    2,123
  2. 2

    First Citizens Investor Services

    Wealth manager with a broker-dealer, Raleigh, NC

    $2.6BNRegulatory assets, Sep 2026

    60% other individuals, 39% high net worth

    Individual clients
    7,563
  3. 3

    Capital Investment Advisory Services

    Wealth manager, Raleigh, NC

    $2.4BNRegulatory assets, Mar 2026

    56% high net worth, 41% other individuals, 2% businesses

    Individual clients
    6,172
  4. 4

    Financial Symmetry

    Wealth manager, Raleigh, NC

    $1.5BNRegulatory assets, May 2026

    90% high net worth, 9% other individuals

    Individual clients
    872
  5. 5

    Founders Financial Alliance

    Wealth manager, Raleigh, NC

    $1.2BNRegulatory assets, Mar 2026

    65% high net worth, 30% other individuals, 2% pension plans

    Individual clients
    2,354
  6. 6

    Cardinal Capital Management

    Wealth manager, Raleigh, NC

    $1.0BNRegulatory assets, Feb 2026

    65% high net worth, 23% businesses, 9% other individuals

    Individual clients
    287
  7. 7

    Cordgrass Capital Advisors

    Wealth manager, Raleigh, NC

    $730MMRegulatory assets, Apr 2026

    47% high net worth, 37% charities, 14% other individuals

    Individual clients
    425
  8. 8

    Tradewinds

    Wealth manager, Raleigh, NC

    $659MMRegulatory assets, Mar 2026

    79% high net worth, 18% other individuals, 2% pension plans

    Individual clients
    495
  9. 9

    Collegiate Capital Management

    Wealth manager, Raleigh, NC

    $653MMRegulatory assets, Mar 2026

    85% high net worth, 13% other individuals, 2% businesses

    Individual clients
    438
  10. 10

    Fortress Private Ledger

    Wealth manager with a broker-dealer, Raleigh, NC

    $584MMRegulatory assets, Mar 2026

    45% high net worth, 36% other individuals, 17% pension plans

    Individual clients
    681
  11. 11

    Physicians Financial Services

    Wealth manager, Raleigh, NC

    $482MMRegulatory assets, Mar 2026

    87% high net worth, 6% other individuals, 4% businesses

    Individual clients
    216
  12. 12

    Townsend Asset Management

    Wealth manager, Raleigh, NC

    $480MMRegulatory assets, Feb 2026

    81% high net worth, 18% other individuals

    Individual clients
    382
  13. 13

    Pursuit Wealth Strategies

    Wealth manager, Raleigh, NC

    $457MMRegulatory assets, Feb 2026

    80% high net worth, 19% other individuals

    Individual clients
    483
  14. 14

    Advisorstrust Partners

    Wealth manager, Raleigh, NC

    $435MMRegulatory assets, May 2026

    46% businesses, 45% high net worth, 8% other individuals

    Individual clients
    172
  15. 15

    TAR River Wealth Planning

    Wealth manager, Louisburg, NC

    $401MMRegulatory assets, Aug 2026

    67% high net worth, 25% other individuals, 7% pension plans

    Individual clients
    469
  16. 16

    Raleigh Capital Management

    Wealth manager, Cary, NC

    $398MMRegulatory assets, Jun 2026

    61% high net worth, 37% other individuals, 2% pension plans

    Individual clients
    443
  17. 17

    Armor Investment Advisors

    Wealth manager, Raleigh, NC

    $356MMRegulatory assets, Apr 2026

    93% high net worth, 7% other individuals

    Individual clients
    201
  18. 18

    Lewis Financial Management

    Wealth manager, Raleigh, NC

    $339MMRegulatory assets, Mar 2026

    99% high net worth

    Individual clients
    88
  19. 19

    Lifeplan Group

    Wealth manager, Raleigh, NC

    $326MMRegulatory assets, Jul 2026

    81% high net worth, 19% other individuals

    Individual clients
    278
  20. 20

    First Financial Group

    Wealth manager, Raleigh, NC

    $317MMRegulatory assets, May 2026

    75% high net worth, 25% other individuals

    Individual clients
    378

Regulatory assets each adviser reported in its latest Form ADV. Each pin opens the filing behind the figure; the ranking rule and sources are at the end of the page. Read .

The ten largest hold 61% of the assets

How the 47 firms counted spread by size: most are small, the dollars sit at the top.

Every firm on one scaleEach dot is one firm's regulatory assets in its latest filing. Every dot is one adviser. Dollar scale is logarithmic.
Assets of each of the 47 firms counted, log scaleEach dot is one adviser and links to its row. Guardian Wealth Advisors $2.7BN; First Citizens Investor Services $2.6BN; Capital Investment Advisory Services $2.4BN; median $292MM.$100MM$1BN$10BNGuardian Wealth Advisors: $2.7BNFirst Citizens Investor Services: $2.6BNCapital Investment Advisory Services: $2.4BNFinancial Symmetry: $1.5BNFounders Financial Alliance: $1.2BNCardinal Capital Management: $1.0BNCordgrass Capital Advisors: $730MMTradewinds: $659MMCollegiate Capital Management: $653MMFortress Private Ledger: $584MMPhysicians Financial Services: $482MMTownsend Asset Management: $480MMPursuit Wealth Strategies: $457MMAdvisorstrust Partners: $435MMTAR River Wealth Planning: $401MMRaleigh Capital Management: $398MMArmor Investment Advisors: $356MMLewis Financial Management: $339MMLifeplan Group: $326MMFirst Financial Group: $317MMFirst Oak Wealth Management: $316MMBeacon Financial Strategies: $309MMBeacon Wealthcare: $308MMLong Island Wealth Management: $292MMOak Harbor Wealth Partners: $288MMPeace of Mind Wealth Management: $283MMQuest 10 Wealth Builders: $238MMIndependent Wealth Advisors: $195MMRidgeline Wealth Advisors: $189MMHollingsworth Avent Averre & Purvis, PA: $177MMFamily Legacy Financial Solutions: $175MMArk Royal Wealth Management: $169MMHunter Street Investment Advisors: $166MMThe Wealth Group: $160MMPendleton Financial Wealth Management: $160MMBlue Water Capital Management: $160MMAIM Advisors: $158MMPlatt Investment Counsel: $154MMBSG Advisers: $135MMSound Financial Management: $134MMTolley Financial Group: $122MMHicks & Associates Wealth Management: $120MMEvergreen Wealth Advisors: $112MMREH Wealth Advisors: $110MMWhite Oak Wealth Partners: $110MMEQV Advisory: $107MMPiedmont Private Wealth: $105MMGuardian Wealth Advisors $2.7BNFirst Citizens Investor Services $2.6BNCapital Investment Advisory Services $2.4BNMedian $292MMAssets of each of the 47 firms counted, log scaleEach dot is one adviser and links to its row. Guardian Wealth Advisors $2.7BN; First Citizens Investor Services $2.6BN; Capital Investment Advisory Services $2.4BN; median $292MM.$1BNGuardian Wealth Advisors $2.7BNMedian $292MM

One dot per firm counted. Read .

The 47 firms, by size
Under $500MM3739%$8.9BN
$500MM to $1BN411%$2.6BN
$1BN to $5BN650%$11.5BN
$5BN to $10BN00%$0
$10BN to $25BN00%$0
$25BN and over00%$0

Assets each reported in its latest filing; shares are of the $23.1BN combined, one row per firm. Read .

12%

of the assets reported sits with one firm, Guardian Wealth Advisors. The five largest hold 45%; 41 of 47 report under $1 billion.

12%Largest34%Next 455%Other 42
Who the 47 are
  1. Wealth managers45
  2. Wealth managers with a broker-dealer2

Kind of each, from its Form ADV (Items 5.G and 6.A), October 2026.

Whose money it isShare of the 47 advisers' assets by type of client
  1. High net worth65%
  2. Other individuals25%
  3. Pension plans5%
  4. Businesses4%
  5. Charities2%
  6. Other0%

Client types each adviser reports with its assets, latest filing; sums of filed figures.

Leaders beyond the ranking

Figures the main ranking does not compare: the most individual clients, the most high net worth clients.

The most individual clientsIndividuals each firm advises, high net worth and other, on its latest Form ADV (Item 5.D).
RankNameFigure
1First Citizens Investor Services7,563Sep 2026
2Capital Investment Advisory Services6,172Mar 2026
3Founders Financial Alliance2,354Mar 2026
4Guardian Wealth Advisors2,123Mar 2026
5Beacon Wealthcare908Jan 2026
6Financial Symmetry872May 2026
7Fortress Private Ledger681Mar 2026
8Quest 10 Wealth Builders503Jun 2026

Counts of clients as filed; a client is an account holder the adviser counts, not a household.

The most high net worth clientsHigh net worth individuals each firm advises, on its latest Form ADV (Item 5.D).
RankNameFigure
1Capital Investment Advisory Services766Mar 2026
2Founders Financial Alliance711Mar 2026
3First Citizens Investor Services645Sep 2026
4Financial Symmetry546May 2026
5Guardian Wealth Advisors474Mar 2026
6Collegiate Capital Management204Mar 2026
7Pursuit Wealth Strategies186Feb 2026
8Tradewinds167Mar 2026

Counts of clients as filed; a client is an account holder the adviser counts, not a household.

The list is public. The warm path is not. Schedule a conversation

All 47 wealth management firms

A to Z, with each firm's regulatory assets, its clients, the share of its assets held for individuals and its private funds, each with a pin to its Form ADV.

Showing all 47 firms

Kind
Where
Size
Order
Wealth Management Firms (RIAs) in Raleigh 47 firms, A to Z
OfficeAssetsBarClientsIndividualsPrivate funds
Advisorstrust Partners
Wealth manager, Raleigh, NC.
Detail and sources for Advisorstrust Partners

Form ADV of Advisortrust Partners, LLC (CRD 304967), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $435MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and portfolio management for businesses and institutions. Clients (Item 5.D): 172 individuals, 72 of them high net worth; individuals hold 53% of its regulatory assets.

Files: SEC Form ADV.

$435MMMay 202618453%
AIM Advisors
Wealth manager, Raleigh, NC.
Detail and sources for AIM Advisors

Form ADV of AIM Advisors, LLC (CRD 325125), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $158MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and pension consulting. Clients (Item 5.D): 186 individuals, 56 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV.

$158MMJan 202618699%
Ark Royal Wealth Management
Wealth manager, Raleigh, NC.
Detail and sources for Ark Royal Wealth Management

Form ADV of Ark Royal Wealth Management LLC (CRD 175151), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $169MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, publications and educational seminars. Clients (Item 5.D): 81 individuals, 52 of them high net worth; individuals hold 92% of its regulatory assets.

Files: SEC Form ADV.

$169MMMar 202612192%
Armor Investment Advisors
Wealth manager, Raleigh, NC.
Detail and sources for Armor Investment Advisors

Form ADV of Armor Investment Advisors, LLC (CRD 134200), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $356MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Armor Investment Advisors, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars and other services. Clients (Item 5.D): 201 individuals, 110 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$356MMApr 2026206100%
Beacon Financial Strategies
Wealth manager, Raleigh, NC.
Detail and sources for Beacon Financial Strategies

Form ADV of Beacon Financial Strategies Corp. (CRD 132987), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $309MM; 7 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and pension consulting. Clients (Item 5.D): 140 individuals, 97 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV.

$309MMFeb 202614197%
Beacon Wealthcare
Wealth manager, Raleigh, NC.
Detail and sources for Beacon Wealthcare

Form ADV of Beacon Wealthcare LLC (CRD 312556), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $308MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Beacon Wealthcare LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 908 individuals, 109 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$308MMJan 2026908100%
Blue Water Capital Management
Wealth manager, Apex, NC.
Detail and sources for Blue Water Capital Management

Form ADV of Blue Water Capital Management, LLC (CRD 127193), SEC registered adviser, filed , main office Apex, NC: regulatory assets $160MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers and educational seminars. Clients (Item 5.D): 106 individuals, 58 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV.

$160MMFeb 202610699%
BSG Advisers
Wealth manager, Apex, NC.
Detail and sources for BSG Advisers

Form ADV of Business-owner Strategies Group, LLC (CRD 297243), SEC registered adviser, filed , main office Apex, NC: regulatory assets $135MM; 9 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting, selection of other advisers and educational seminars. Clients (Item 5.D): 264 individuals, 63 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV.

$135MMJul 202627298%
Capital Investment Advisory Services
Wealth manager, Raleigh, NC.
Detail and sources for Capital Investment Advisory Services

Form ADV of Capital Investment Advisory Services, LLC (CRD 149124), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $2.4BN; 91 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 6,172 individuals, 766 of them high net worth; individuals hold 96% of its regulatory assets. A second adviser of the same business, Capital Investment Counsel Inc. (CRD 104591), files its own Form ADV: $1.0BN in regulatory assets, not added.

Files: SEC Form ADV.

$2.4BNMar 20266,27696%
Cardinal Capital Management
Wealth manager, Raleigh, NC.
Detail and sources for Cardinal Capital Management

Form ADV of Cardinal Capital Management Inc. (CRD 108076), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $1.0BN; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Cardinal Capital Management Inc., quarter ended , filed .

Possible match by name only, not counted: Cardinal Capital Management, Inc. (CRD 124729), registered adviser, filed , Winnipeg.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 287 individuals, 151 of them high net worth; individuals hold 75% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$1.0BNFeb 202630575%
Collegiate Capital Management
Wealth manager, Raleigh, NC.
Detail and sources for Collegiate Capital Management

Form ADV of Collegiate Capital Management, Inc. (CRD 118205), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $653MM; 8 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and pension consulting. Clients (Item 5.D): 438 individuals, 204 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV.

$653MMMar 202644698%
Cordgrass Capital Advisors
Wealth manager, Raleigh, NC.
Detail and sources for Cordgrass Capital Advisors

Form ADV of Cordgrass Capital Advisors, LLC (CRD 311528), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $730MM; 8 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 425 individuals, 131 of them high net worth; individuals hold 60% of its regulatory assets.

Files: SEC Form ADV.

$730MMApr 202644860%
EQV Advisory
Wealth manager, Raleigh, NC.
Detail and sources for EQV Advisory

Form ADV of EQV Advisory, LLC (CRD 338271), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $107MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 18 individuals, 11 of them high net worth; individuals hold 60% of its regulatory assets.

Files: SEC Form ADV.

$107MMJan 20262160%
Evergreen Wealth Advisors
Wealth manager, Raleigh, NC.
Detail and sources for Evergreen Wealth Advisors

Form ADV of Evergreen Wealth Advisors (CRD 326535), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $112MM; 18 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 142 individuals, 8 of them high net worth; individuals hold 66% of its regulatory assets.

Files: SEC Form ADV.

$112MMSep 202615666%
Family Legacy Financial Solutions
Wealth manager, Cary, NC.
Detail and sources for Family Legacy Financial Solutions

Form ADV of Family Legacy Financial Solutions, LLC (CRD 314351), SEC registered adviser, filed , main office Cary, NC: regulatory assets $175MM; 7 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Family Legacy Financial Solutions, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, publications, educational seminars and other services. Clients (Item 5.D): 315 individuals, 55 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$175MMMar 2026315100%
Financial Symmetry
Wealth manager, Raleigh, NC.
Detail and sources for Financial Symmetry

Form ADV of Financial Symmetry Incorporated (CRD 118443), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $1.5BN; 35 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and pension consulting. Clients (Item 5.D): 872 individuals, 546 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$1.5BNMay 2026873100%
First Citizens Investor Services
Wealth manager with a broker-dealer, Raleigh, NC.
Detail and sources for First Citizens Investor Services

Form ADV of First Citizens Investor Services, Inc. (CRD 44430), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $2.6BN; 352 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR/A of First Citizens Investor Services, Inc., quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers and educational seminars. Clients (Item 5.D): 7,563 individuals, 645 of them high net worth; individuals hold 99% of its regulatory assets. It is also registered as a broker-dealer (Item 6.A). A second adviser of the same business, First Citizens Asset Management, Inc. (CRD 140777), files its own Form ADV: $465MM in regulatory assets, not added.

Files: SEC Form ADV, SEC Form 13F (last for 2025).

$2.6BNSep 20267,64599%
First Financial Group
Wealth manager, Raleigh, NC.
Detail and sources for First Financial Group

Form ADV of First Financial Group Corporation (CRD 134006), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $317MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of First Financial Group Corporation, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and other services. Clients (Item 5.D): 378 individuals, 89 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$317MMMay 2026378100%
First Oak Wealth Management
Wealth manager, Raleigh, NC.
Detail and sources for First Oak Wealth Management

Form ADV of First Oak Wealth Management, LLC (CRD 288316), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $316MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 149 individuals, 80 of them high net worth; individuals hold 65% of its regulatory assets.

Files: SEC Form ADV.

$316MMAug 202615465%
Fortress Private Ledger
Wealth manager with a broker-dealer, Raleigh, NC.
Detail and sources for Fortress Private Ledger

Form ADV of Fortress Private Ledger, LLC (CRD 290298), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $584MM; 22 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and other services. Clients (Item 5.D): 681 individuals, 98 of them high net worth; individuals hold 81% of its regulatory assets. It is also registered as a broker-dealer (Item 6.A).

Files: SEC Form ADV.

$584MMMar 202670481%
Founders Financial Alliance
Wealth manager, Raleigh, NC.
Detail and sources for Founders Financial Alliance

Form ADV of Founders Financial Alliance, LLC (CRD 173011), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $1.2BN; 31 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers and other services. Clients (Item 5.D): 2,354 individuals, 711 of them high net worth; individuals hold 96% of its regulatory assets.

Files: SEC Form ADV.

$1.2BNMar 20262,41296%
Guardian Wealth Advisors
Wealth manager, Raleigh, NC.
Detail and sources for Guardian Wealth Advisors

Form ADV of Guardian Wealth Advisors, LLC (CRD 305412), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $2.7BN; 50 employees.

Tied to this row by the CRD the list cites from the filing.

Possible match by name only, not counted: Guardian Wealth Advisors, LLC (CRD 143254), registered adviser, filed , St Louis Park, MN.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting, selection of other advisers and other services. Clients (Item 5.D): 2,123 individuals, 474 of them high net worth; individuals hold 72% of its regulatory assets.

Files: SEC Form ADV.

$2.7BNMar 20262,26272%
Hicks & Associates Wealth Management
Wealth manager, Cary, NC.
Detail and sources for Hicks & Associates Wealth Management

Form ADV of Hicks & Associates Wealth Management, LLC (CRD 323171), SEC registered adviser, filed , main office Cary, NC: regulatory assets $120MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 162 individuals, 37 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$120MMFeb 2026162100%
Hollingsworth Avent Averre & Purvis, PA
Wealth manager, Raleigh, NC.
Detail and sources for Hollingsworth Avent Averre & Purvis, PA

Form ADV of Hollingsworth Avent Averre & Purvis, PA (CRD 118943), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $177MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and pension consulting. Clients (Item 5.D): 94 individuals, 44 of them high net worth; individuals hold 96% of its regulatory assets.

Files: SEC Form ADV.

$177MMMar 202610096%
Hunter Street Investment Advisors
Wealth manager, Apex, NC.
Detail and sources for Hunter Street Investment Advisors

Form ADV of Hunter Street Investment Advisors LLC (CRD 145334), SEC registered adviser, filed , main office Apex, NC: regulatory assets $166MM; 8 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and other services. Clients (Item 5.D): 352 individuals, 2 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$166MMJun 2026352100%
Independent Wealth Advisors
Wealth manager, Cary, NC.
Detail and sources for Independent Wealth Advisors

Form ADV of Independent Wealth Advisors, LLC (CRD 328786), SEC registered adviser, filed , main office Cary, NC: regulatory assets $195MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 256 individuals, 133 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$195MMJun 2026258100%
Lewis Financial Management
Wealth manager, Raleigh, NC.
Detail and sources for Lewis Financial Management

Form ADV of Lewis Financial Management, LLC (CRD 116344), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $339MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 88 individuals, 85 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$339MMMar 202688100%
Lifeplan Group
Wealth manager, Raleigh, NC.
Detail and sources for Lifeplan Group

Form ADV of Lifeplan Investment Advisors, Inc. (CRD 144157), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $326MM; 9 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, selection of other advisers, educational seminars and other services. Clients (Item 5.D): 278 individuals, 140 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$326MMJul 2026278100%
Long Island Wealth Management
Wealth manager, Raleigh, NC.
Detail and sources for Long Island Wealth Management

Form ADV of Long Island Wealth Management, Inc. (CRD 173363), SEC registered adviser, filed : regulatory assets $292MM; 1 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 125 individuals, 70 of them high net worth; individuals hold 100% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV.

$292MMSep 2026125100%
Oak Harbor Wealth Partners
Wealth manager, Raleigh, NC.
Detail and sources for Oak Harbor Wealth Partners

Form ADV of Hesmer Wealth Management LLC (CRD 340213), SEC registered adviser, filed : regulatory assets $288MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting, selection of other advisers and other services. Clients (Item 5.D): 249 individuals, 108 of them high net worth; individuals hold 85% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV.

$288MMJul 202626985%
Peace of Mind Wealth Management
Wealth manager, Raleigh, NC.
Detail and sources for Peace of Mind Wealth Management

Form ADV of Pom Investment Strategies, LLC (CRD 317067), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $283MM; 18 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 324 individuals, 150 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV.

$283MMSep 202632999%
Pendleton Financial Wealth Management
Wealth manager, Raleigh, NC.
Detail and sources for Pendleton Financial Wealth Management

Form ADV of Pendleton Financial, LLC (CRD 325303), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $160MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publications and educational seminars. Clients (Item 5.D): 128 individuals, 52 of them high net worth; individuals hold 54% of its regulatory assets.

Files: SEC Form ADV.

$160MMMar 202614354%
Physicians Financial Services
Wealth manager, Raleigh, NC.
Detail and sources for Physicians Financial Services

Form ADV of Physicians Financial Services, Inc. (CRD 118519), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $482MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Physicians Financial Services, Inc., quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 216 individuals, 96 of them high net worth; individuals hold 93% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$482MMMar 202621693%
Piedmont Private Wealth
Wealth manager, Raleigh, NC.
Detail and sources for Piedmont Private Wealth

Form ADV of Piedmont Private Wealth, LLC (CRD 339616), SEC registered adviser, filed : regulatory assets $105MM; 1 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and other services. Clients (Item 5.D): 56 individuals, 5 of them high net worth; individuals hold 100% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV.

$105MMMar 202656100%
Platt Investment Counsel
Wealth manager, Cary, NC.
Detail and sources for Platt Investment Counsel

Form ADV of Platt Investment Counsel, LLC (CRD 118737), SEC registered adviser, filed : regulatory assets $154MM; 1 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and portfolio management for businesses and institutions. Clients (Item 5.D): 142 individuals, 52 of them high net worth; individuals hold 93% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV.

$154MMMar 202614593%
Pursuit Wealth Strategies
Wealth manager, Raleigh, NC.
Detail and sources for Pursuit Wealth Strategies

Form ADV of Pursuit Wealth Management, LLC (CRD 337709), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $457MM; 7 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds and portfolio management for businesses and institutions. Clients (Item 5.D): 483 individuals, 186 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV.

$457MMFeb 202648399%
Quest 10 Wealth Builders
Wealth manager, Fuquay-Varina, NC.
Detail and sources for Quest 10 Wealth Builders

Form ADV of Quest 10 Wealth Builders, Inc. (CRD 154092), SEC registered adviser, filed , main office Fuquay-Varina, NC: regulatory assets $238MM; 8 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting, selection of other advisers and educational seminars. Clients (Item 5.D): 503 individuals, 111 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$238MMJun 2026503100%
Raleigh Capital Management
Wealth manager, Cary, NC.
Detail and sources for Raleigh Capital Management

Form ADV of Raleigh Capital Management Inc. (CRD 149538), SEC registered adviser, filed , main office Cary, NC: regulatory assets $398MM; 20 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, selection of other advisers and educational seminars. Clients (Item 5.D): 443 individuals, 123 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV.

$398MMJun 202647098%
REH Wealth Advisors
Wealth manager, Raleigh, NC.
Detail and sources for REH Wealth Advisors

Form ADV of REH Wealth Advisors LLC (CRD 153826), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $110MM; 1 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and pension consulting. Clients (Item 5.D): 69 individuals, 39 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV.

$110MMJan 20266997%
Ridgeline Wealth Advisors
Wealth manager, Raleigh, NC.
Detail and sources for Ridgeline Wealth Advisors

Form ADV of Ridgeline Wealth Advisors, Llc. (CRD 284843), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $189MM; 7 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and pension consulting. Clients (Item 5.D): 199 individuals, 71 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV.

$189MMJul 202619999%
Sound Financial Management
Wealth manager, Raleigh, NC.
Detail and sources for Sound Financial Management

Form ADV of Sound Financial Management, Inc. (CRD 122670), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $134MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 180 individuals, 26 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$134MMMar 2026180100%
TAR River Wealth Planning
Wealth manager, Louisburg, NC.
Detail and sources for TAR River Wealth Planning

Form ADV of TAR River Wealth Planning, LLC (CRD 328530), SEC registered adviser, filed , main office Louisburg, NC: regulatory assets $401MM; 9 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and publications. Clients (Item 5.D): 469 individuals, 96 of them high net worth; individuals hold 92% of its regulatory assets.

Files: SEC Form ADV.

$401MMAug 202648392%
Tolley Financial Group
Wealth manager, Raleigh, NC.
Detail and sources for Tolley Financial Group

Form ADV of Tolley Financial Group, LLC (CRD 302115), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $122MM; 1 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and pension consulting. Clients (Item 5.D): 170 individuals, 31 of them high net worth; individuals hold 87% of its regulatory assets.

Files: SEC Form ADV.

$122MMAug 202619287%
Townsend Asset Management
Wealth manager, Raleigh, NC.
Detail and sources for Townsend Asset Management

Form ADV of Townsend Asset Management Corp. (CRD 108216), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $480MM; 7 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and educational seminars. Clients (Item 5.D): 382 individuals, 118 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV.

$480MMFeb 202640499%
Tradewinds
Wealth manager, Raleigh, NC.
Detail and sources for Tradewinds

Form ADV of Tradewinds, LLC (CRD 316415), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $659MM; 12 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and portfolio management for businesses and institutions. Clients (Item 5.D): 495 individuals, 167 of them high net worth; individuals hold 96% of its regulatory assets.

Files: SEC Form ADV.

$659MMMar 202650596%
The Wealth Group
Wealth manager, Raleigh, NC.
Detail and sources for The Wealth Group

Form ADV of The Wealth Group, Ltd (CRD 154106), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $160MM; 8 employees.

Tied to this row by the CRD the list cites from the filing.

Possible match by name only, not counted: The Wealth Group, Ltd (CRD 311385), registered adviser, filed , Eden Prairie, MN.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 148 individuals, 41 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV.

$160MMMar 202614897%
White Oak Wealth Partners
Wealth manager, Raleigh, NC.
Detail and sources for White Oak Wealth Partners

Form ADV of The Turlington Group, Inc. (CRD 317324), SEC registered adviser, filed , main office Raleigh, NC: regulatory assets $110MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 73 individuals, 27 of them high net worth; individuals hold 88% of its regulatory assets.

Files: SEC Form ADV.

$110MMMar 20267888%

Assets are the regulatory assets in the adviser's latest Form ADV (Item 5.F; solid bar). Clients are every client it counts (Item 5.D); Individuals is the share of its assets held for individuals, high net worth and other; private funds are the funds it advises (Item 7.B). Each pin opens the filing behind the figure. The square beside a name opens every figure with its filing and notes.

A few large advisers hold most of the money

Four findings from the filings of the 47 firms counted.

  1. 12%

    of the $23.1 billion the 47 firms counted report is one firm's: Guardian Wealth Advisors. Without it, the other 46 report $20.3 billion.

    Assets, latest Form ADV of each; sums of filed figures

  2. $292MM

    is the median: half of the 47 report less, and 41 report under $1 billion.

    Assets, latest Form ADV of each

  3. 65%

    of their assets is high net worth money; the next largest client type is other individuals, at 25%.

    Client types each adviser reports with its assets; sums of filed figures

  4. 46

    of the 47 have their main office in Wake County, NC; the next place is Franklin County, NC, with 1.

    Main office on each Form ADV

Questions

How many wealth management firms are there in Raleigh?

This list holds 47 wealth management firms in the Raleigh metro; 47 of them report regulatory assets on Form ADV, $23.1 billion together.

What are the largest wealth management firms in Raleigh?

By the regulatory assets they report: Guardian Wealth Advisors $2.7 billion, First Citizens Investor Services $2.6 billion, Capital Investment Advisory Services $2.4 billion, Financial Symmetry $1.5 billion, Founders Financial Alliance $1.2 billion.

How much do wealth management firms in Raleigh typically manage?

Of the 47 that report, the median reports $292 million in regulatory assets; 41 report under $1 billion.

How do you start a relationship with wealth management firms in Raleigh?

Each figure on this page carries a pin that opens the firm's Form ADV, which names its services, its clients and how to reach it. For fund managers and companies raising capital, Praxis Rock runs capital formation programs; see Raise Capital.

Sources and method

Who is listed
47 wealth management firms, 45 are wealth managers and 2 are wealth managers with a broker-dealer. Every SEC registered adviser with a main office in Raleigh-Cary, NC MSA (Census CBSA 39580) that reports $100 million or more in regulatory assets, half or more of them for individuals, less the firms our other lists carry as another kind.
Ranking rule
The top 20, every total, share and median, the charts and the answers to the questions use one set: the 47 advisers that report regulatory assets in their latest SEC Form ADV, with a main office in the Raleigh metro, that the filing itself ties to the row (the CRD the list cites, or the row's own website in Item 1.I), one figure per adviser. A name match with no such tie is shown in the row's detail only, never ranked or counted.
Our arithmetic
The $23.1BN, the median, shares, charts and boards are sums and medians of filed numbers over that one set; 0 firms with a figure outside it stay listed with the figure and the reason.
Pins
Each figure's pin opens the filing it comes from: the adviser's Form ADV as filed, or the SEC filing index of its latest 13F report. The pin's label names the source and its date.
What we searched
On we read every firm's latest Form ADV in the SEC monthly file by its CRD and searched 13F reports by the CIK on its Form ADV record. Of the 47, 47 report on a current Form ADV and 7 file 13F reports.
Words
Each firm's kind is read from its Form ADV: a wealth manager advises individuals and offers financial planning (Items 5.D and 5.G); "also a broker-dealer" where Item 6.A is checked. Firm names only: no person, contact or website is shown.
Sources and dates
FigureSourcePeriod, read
Assets, private funds, client types, main office, employeesSEC Form ADV adviser data, October 2026 report, and each adviser's Form ADV as filed, 47 advisersFilings to 2026-10-01; read 2026-11-06
Reports of listed stocks (13F filer)SEC EDGAR Form 13F, 7 filers, by the CIK on each Form ADVLatest filing; read 2026-11-06
Main office to metroHUD USPS ZIP to county crosswalk, 2026 Q2, and the Census metro delineation, July 2023Read 2026-11-06
LogosNone shown: each firm has a monogramRead 2026-11-06

Cite as: Praxis Rock Advisors, "Wealth Management Firms (RIAs) in Raleigh," updated November 6, 2026, praxisrock.com/resources/investors/wealth-management-firms-raleigh

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