SEC Form ADV, by state
The largest investment adviser firms in North Carolina
The current SEC Form ADV data lists 323 investment adviser firms headquartered in North Carolina, of which 33 (10.2%) answered yes to at least one disciplinary or legal question on Form ADV Item 11. Below are the 50 largest by regulatory assets under management, a gross size measure each firm reports itself. Size is not a quality score, and no public record reports any firm's investment returns.
| Firm | City | Regulatory AUM | Fee methods | Item 11 disclosure |
|---|---|---|---|---|
| CAPTRUST | RALEIGH | $1.2T | % of AUMhourlyfixedperformance | none reported |
| ALLSPRING GLOBAL INVESTMENTS, LLC | CHARLOTTE | $476B | % of AUMfixedperformance | none reported |
| BARINGS LLC | CHARLOTTE | $393B | % of AUMfixedperformance | yes, reported |
| ALLSPRING FUNDS MANAGEMENT, LLC | CHARLOTTE | $325B | % of AUMperformance | none reported |
| BRIGHTHOUSE INVESTMENT ADVISERS, LLC | CHARLOTTE | $133B | % of AUMother | none reported |
| STERLING CAPITAL MANAGEMENT LLC | CHARLOTTE | $69B | % of AUMfixedperformance | yes, reported |
| WELLS FARGO INVESTMENT INSTITUTE, INC. | CHARLOTTE | $43B | % of AUMfixed | yes, reported |
| ALIGHT FINANCIAL ADVISORS, LLC | CHARLOTTE | $35B | % of AUMfixedother | yes, reported |
| STEPSTONE PRIVATE WEALTH | CHARLOTTE | $18B | % of AUMperformance | none reported |
| INDEPENDENT ADVISOR ALLIANCE, LLC | CHARLOTTE | $17B | % of AUMhourlyfixed | none reported |
| GLOBAL ENDOWMENT MANAGEMENT, LP | CHARLOTTE | $13B | % of AUMperformance | none reported |
| CHURCHILL INVESTMENT MANAGEMENT, LLC | CHARLOTTE | $12B | % of AUMperformanceother | none reported |
| TRUEBRIDGE CAPITAL PARTNERS | CHAPEL HILL | $11B | % of AUMperformance | none reported |
| ADHESION WEALTH ADVISOR SOLUTIONS | CHARLOTTE | $11B | % of AUMfixed | none reported |
| RIDGEMONT PARTNERS MANAGEMENT, LLC | CHARLOTTE | $10B | % of AUMfixedperformance | none reported |
| HORIZON INVESTMENTS LLC | CHARLOTTE | $8.5B | % of AUMfixed | none reported |
| ASANA PARTNERS, LP | CHARLOTTE | $8.4B | % of AUMperformance | none reported |
| WEDGE CAPITAL MANAGEMENT LLP | CHARLOTTE | $7.8B | % of AUM | none reported |
| BELL PARTNERS | GREENSBORO | $6.1B | % of AUMperformanceother | none reported |
| VERATIS ADVISORS, INC. | CARY | $6.0B | % of AUMhourlyfixed | none reported |
| PAMLICO CAPITAL | CHARLOTTE | $5.3B | % of AUMperformance | none reported |
| ALUMINA INVESTMENT MANAGEMENT | CHARLOTTE | $5.3B | fixed | none reported |
| BRAGG FINANCIAL ADVISORS INC | CHARLOTTE | $4.7B | % of AUMhourlyfixed | none reported |
| QHP CAPITAL, L.P. | RALEIGH | $4.6B | % of AUMother | none reported |
| FRANKLIN STREET ADVISORS INC. | CHAPEL HILL | $4.5B | % of AUMfixedother | yes, reported |
| SALEM INVESTMENT COUNSELORS INC | WINSTON SALEM | $4.2B | % of AUMhourlyfixed | none reported |
| PLEXUS CAPITAL | RALEIGH | $3.8B | % of AUMperformanceother | none reported |
| FALFURRIAS MANAGEMENT PARTNERS LP | CHARLOTTE | $3.7B | % of AUMperformance | none reported |
| BILTMORE FAMILY OFFICE, LLC | CHARLOTTE | $3.5B | % of AUMfixed | none reported |
| COLONY FAMILY OFFICES, LLC | CHARLOTTE | $3.4B | % of AUMfixed | none reported |
| VERGER CAPITAL MANAGEMENT | WINSTON-SALEM | $3.3B | % of AUM | none reported |
| CORNERSTONE ADVISORS, LLC | ASHEVILLE | $3.0B | % of AUM | none reported |
| NEW REPUBLIC PARTNERS | CHARLOTTE | $3.0B | % of AUMfixedperformance | none reported |
| SMITH SALLEY WEALTH MANAGEMENT | GREENSBORO | $2.9B | % of AUM | none reported |
| GUARDIAN WEALTH ADVISORS, LLC | RALEIGH | $2.7B | % of AUMhourlyfixed | yes, reported |
| FIRST CITIZENS INVESTOR SERVICES, INC. | RALEIGH | $2.6B | % of AUM | yes, reported |
| ALPHASTAR CAPITAL MANAGEMENT | CORNELIUS | $2.5B | % of AUMhourlyfixed | yes, reported |
| CORNERSTONE WEALTH | HUNTERSVILLE | $2.5B | % of AUMfixedother | none reported |
| CAPITAL INVESTMENT ADVISORY SERVICES, LLC | RALEIGH | $2.4B | % of AUMhourlyfixed | yes, reported |
| TIVERTON ADVISORS, LLC | RALEIGH | $2.1B | % of AUMperformanceother | none reported |
| COMPERIO RETIREMENT CONSULTING, INC. | CARY | $2.0B | % of AUMhourlyfixed | none reported |
| NOVARE CAPITAL MANAGEMENT | CHARLOTTE | $1.9B | % of AUM | none reported |
| CAROUSEL CAPITAL MANAGEMENT COMPANY, L.P. | CHARLOTTE | $1.9B | % of AUMperformance | none reported |
| HALIFAX INVESTMENT MANAGEMENT, L.L.C. | RALEIGH | $1.9B | % of AUMperformanceother | none reported |
| ETON ADVISORS | CHAPEL HILL | $1.9B | % of AUMfixedother | none reported |
| BLUEPRINT INVESTMENT PARTNERS LLC | GREENSBORO | $1.9B | % of AUM | none reported |
| WESTEND ADVISORS, LLC | CHARLOTTE | $1.9B | % of AUM | none reported |
| MORGAN CREEK CAPITAL MANAGEMENT, LLC | CHAPEL HILL | $1.8B | % of AUMperformance | none reported |
| LINDEN THOMAS ADVISORY SERVICES, LLC | CHARLOTTE | $1.8B | % of AUMhourlyfixed | yes, reported |
| STEELE CREEK INVESTMENT MANAGEMENT LLC | CHARLOTTE | $1.7B | % of AUMperformance | none reported |
Source: SEC Form ADV monthly data, firms reporting a North Carolinaheadquarters address. Fee-method chips are the compensation arrangements each firm checked on Item 5.E; the disclosure column is the firm's own answer to Item 11. Click through to any firm for the full record and a link to its SEC detail page.
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