Data / Investment advisers / Serving pension and profit sharing plans / North Carolina
Investment advisers in North Carolina serving pension and profit sharing plans: 107 firms
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
107 SEC registered investment advisers with a main office in North Carolina report pension and profit sharing plans among their clients in Form ADV item 5.D, and together they attribute $1.1 trillion of their assets under management to them, in the SEC's file of November 2, 2026. The adviser with the most is Captrust.
The request: Every investment adviser in North Carolina that serves pension and profit sharing plans, with AUM, phone and website. $10 of work on sign-up, no card.
SpecStream is the live web data engine for teams and agents. It reads the SEC's Form ADV files every month, and this page is that reading, keyed on the CRD number. Ask for the advisers you track by state, city, size, client type or private funds, and new registrations and filings arrive in your sheet, CRM, Slack or agent as the SEC publishes them.
- 107Advisers
- $1.1 trillionAUM from this client type
- 107Advisers over $100 million
- November 2, 2026File date
Advisers in North Carolina serving pension and profit sharing plans
Ranked by the AUM the adviser attributes to this client type. Each row links to the firm page where it has one, and to its SEC record.
| Adviser | City | Clients of this type | AUM from this type | Total AUM | Source |
|---|
| Captrust | Raleigh | 3,523 | $1.07 trillion | $1.24 trillion | adviserinfo.sec.gov |
| Allspring Global Investments, LLC | Charlotte | 78 | $21.13 billion | $475.78 billion | adviserinfo.sec.gov |
| Sterling Capital Management LLC | Charlotte | 70 | $17.82 billion | $69.23 billion | adviserinfo.sec.gov |
| Barings LLC | Charlotte | 43 | $13.02 billion | $392.75 billion | adviserinfo.sec.gov |
| Veratis Advisors, Inc. | Cary | 16 | $5.55 billion | $5.99 billion | adviserinfo.sec.gov |
| Wedge Capital Management LLP | Charlotte | 114 | $5.02 billion | $8.13 billion | adviserinfo.sec.gov |
| Comperio Retirement Consulting, Inc. | Cary | 27 | $1.99 billion | $1.99 billion | adviserinfo.sec.gov |
| Guardian Wealth Advisors, LLC | Raleigh | 104 | $753.8 million | $2.74 billion | adviserinfo.sec.gov |
| Fund Direct Advisors Inc. | Greensboro | 65 | $510 million | $593 million | adviserinfo.sec.gov |
| Quantitative Process, LLC | Charlotte | 48 | $398.6 million | $502.1 million | adviserinfo.sec.gov |
| Namcoa | Mooresville | 44 | $236.1 million | $404.3 million | adviserinfo.sec.gov |
| Milestone Investments, Inc. | Charlotte | 22 | $232.5 million | $277.3 million | adviserinfo.sec.gov |
| Carolina Wealth Management, Inc. | Greenville | 42 | $201 million | $798.5 million | adviserinfo.sec.gov |
| Lyon Wealth Advisors | Charlotte | 102 | $171 million | $311.4 million | adviserinfo.sec.gov |
| Linden Thomas Advisory Services, LLC | Charlotte | 88 | $154.5 million | $1.77 billion | adviserinfo.sec.gov |
| Allspring Funds Management, LLC | Charlotte | 34 | $152.3 million | $324.65 billion | adviserinfo.sec.gov |
| Independent Advisor Alliance, LLC | Charlotte | 875 | $147.7 million | $17.23 billion | adviserinfo.sec.gov |
| Charter Wealth Management | Raleigh | 12 | $114.7 million | $195.6 million | adviserinfo.sec.gov |
| Fortress Private Ledger, LLC | Raleigh | 10 | $99.3 million | $584 million | adviserinfo.sec.gov |
| Millbank Dartmoor Portsmouth LLC | Asheville | Fewer than 5 | $98.8 million | $263.2 million | adviserinfo.sec.gov |
| The Breit Group | Wrightsville Beach | 24 | $92.7 million | $131.6 million | adviserinfo.sec.gov |
| Pendleton Financial Wealth Management | Raleigh | 13 | $69.9 million | $160 million | adviserinfo.sec.gov |
| Front Porch Financial Advisory | Charlotte | 17 | $67.4 million | $181.3 million | adviserinfo.sec.gov |
| Capital Advisers, Inc. | Raleigh | 85 | $65 million | $620 million | adviserinfo.sec.gov |
| Omnistar Financial Group, Inc. | Wilmington | 23 | $60.4 million | $285.7 million | adviserinfo.sec.gov |
| Capital Investment Counsel Inc | Raleigh | 16 | $58.1 million | $1.02 billion | adviserinfo.sec.gov |
| Tagstone Capital, Inc. | Charlotte | Fewer than 5 | $57.5 million | $368.9 million | adviserinfo.sec.gov |
| Altamont Capital Management | Asheville | 15 | $53.7 million | $412.3 million | adviserinfo.sec.gov |
| Whitener Capital Management, Inc | Rocky Mount | 25 | $50 million | $598.5 million | adviserinfo.sec.gov |
| Alphastar Capital Management | Cornelius | 20 | $48.5 million | $2.50 billion | adviserinfo.sec.gov |
| Timonier | Winston Salem | 12 | $42.3 million | $450.3 million | adviserinfo.sec.gov |
| Wells Fargo Investment Institute, Inc. | Charlotte | 11 | $37.9 million | $43.00 billion | adviserinfo.sec.gov |
| Cascades Capital Asset Management, LLC | Greensboro | 15 | $37 million | $383.3 million | adviserinfo.sec.gov |
| Strategic Advisory Partners | Greensboro | 11 | $33.4 million | $191.4 million | adviserinfo.sec.gov |
| Capital Management LLC | Greensboro | 2 | $32.5 million | $383 million | adviserinfo.sec.gov |
| Integrated Wealthcare, LLC | Durham | 8 | $32.1 million | $218.2 million | adviserinfo.sec.gov |
| Verity Asset Management | Durham | 17 | $31.4 million | $1.15 billion | adviserinfo.sec.gov |
| Eastover Capital Management | Charlotte | Fewer than 5 | $29.6 million | $392.3 million | adviserinfo.sec.gov |
| Colton Groome Financial Advisors, LLC | Asheville | 3 | $28 million | $724.9 million | adviserinfo.sec.gov |
| Capital Investment Advisory Services, LLC | Raleigh | 41 | $28 million | $2.39 billion | adviserinfo.sec.gov |
| Three Magnolias Financial Advisors | Winston Salem | 19 | $27.8 million | $487.1 million | adviserinfo.sec.gov |
| Tar River Wealth Planning, LLC | Louisburg | 4 | $27.7 million | $401.2 million | adviserinfo.sec.gov |
| Founders Financial Alliance, LLC | Raleigh | 27 | $27.2 million | $1.19 billion | adviserinfo.sec.gov |
| Gragg Financial | Shelby | 10 | $24.4 million | $215.4 million | adviserinfo.sec.gov |
| Verum Partners LLC | Charlotte | 18 | $23.3 million | $1.01 billion | adviserinfo.sec.gov |
| Spartan Planning Group | Greensboro | 14 | $23.2 million | $383.7 million | adviserinfo.sec.gov |
| Sparta Wealth Partners | Charlotte | 7 | $23.1 million | $315.8 million | adviserinfo.sec.gov |
| H. L. Ormond & Company, LLC | Greenville | Fewer than 5 | $23 million | $401.4 million | adviserinfo.sec.gov |
| Sheets Smith Wealth Management | Winston Salem | 5 | $22.3 million | $1.37 billion | adviserinfo.sec.gov |
| Salem Investment Counselors Inc | Winston Salem | 3 | $20.2 million | $4.19 billion | adviserinfo.sec.gov |
| Holderness Investments Co | Greensboro | 10 | $18.1 million | $660.7 million | adviserinfo.sec.gov |
| Physicians Financial Services, Inc. | Raleigh | Fewer than 5 | $15.9 million | $482.3 million | adviserinfo.sec.gov |
| Sapere Wealth Management, LLC | Matthews | 4 | $15.1 million | $604.8 million | adviserinfo.sec.gov |
| Tarheel Advisors, LLC | Chapel Hill | 2 | $14.9 million | $137.8 million | adviserinfo.sec.gov |
| Tradewinds, LLC | Raleigh | 10 | $14.9 million | $659.4 million | adviserinfo.sec.gov |
| Arbor Investment Advisors | Winston Salem | Fewer than 5 | $14.6 million | $1.29 billion | adviserinfo.sec.gov |
| Absher Wealth Management, LLC | Chapel Hill | 10 | $12.9 million | $1.26 billion | adviserinfo.sec.gov |
| Horizons Wealth Management | Asheville | 5 | $10.4 million | $258.2 million | adviserinfo.sec.gov |
| Greenway Wealth Advisors, LLC | Charlotte | 7 | $10 million | $184.5 million | adviserinfo.sec.gov |
| Tolley Financial Group, LLC | Raleigh | 15 | $9.6 million | $121.9 million | adviserinfo.sec.gov |
| Lumina Wealth Management, LLC | Wilmington | 1 | $9.4 million | $240.2 million | adviserinfo.sec.gov |
| Phoenix Wealth Advisors Inc. | Chapel Hill | 38 | $9.1 million | $641.4 million | adviserinfo.sec.gov |
| Smith Partners Wealth Management, LLC | Greensboro | 2 | $9 million | $196.1 million | adviserinfo.sec.gov |
| Beacon Financial Strategies Corp. | Raleigh | 1 | $8.7 million | $309.4 million | adviserinfo.sec.gov |
| Dreher Financial Partners | Southern Pines | 4 | $8 million | $148.2 million | adviserinfo.sec.gov |
| Raleigh Capital Management Inc. | Cary | 27 | $7.8 million | $397.8 million | adviserinfo.sec.gov |
| Strathmore Capital Advisors | Charlotte | Fewer than 5 | $7.6 million | $805 million | adviserinfo.sec.gov |
| Providence Capital Advisors, LLC | Charlotte | Fewer than 5 | $6.8 million | $1.07 billion | adviserinfo.sec.gov |
| Calamita Wealth Management | Charlotte | 1 | $6 million | $138.2 million | adviserinfo.sec.gov |
| Hollingsworth Avent Averre & Purvis, Pa | Raleigh | 4 | $5.7 million | $177.4 million | adviserinfo.sec.gov |
| Novare Capital Management | Charlotte | Fewer than 5 | $5.1 million | $1.92 billion | adviserinfo.sec.gov |
| Mauney-Pitt Financial Management, Inc. | Shelby | 5 | $5 million | $418 million | adviserinfo.sec.gov |
| Thayer Financial, L.L.C. | Hickory | 8 | $4.9 million | $106.4 million | adviserinfo.sec.gov |
| Hamilton Point Investment Advisors, LLC | Chapel Hill | 1 | $4.5 million | $1.21 billion | adviserinfo.sec.gov |
| IA Network, LLC | Charlotte | Fewer than 5 | $4.4 million | $199.5 million | adviserinfo.sec.gov |
| Cornerstone Wealth Planning | Charlotte | Fewer than 5 | $4.3 million | $485.9 million | adviserinfo.sec.gov |
| Ascendor Wealth, LLC | Wilmington | 5 | $4.3 million | $145.6 million | adviserinfo.sec.gov |
| The Wealth Group, LTD | Raleigh | Fewer than 5 | $3.9 million | $160.2 million | adviserinfo.sec.gov |
| Townsend Asset Management Corp. | Raleigh | 4 | $3.9 million | $479.6 million | adviserinfo.sec.gov |
| Tassel Capital Management, Inc | Matthews | Fewer than 5 | $3.5 million | $266 million | adviserinfo.sec.gov |
| Pursuit Wealth Strategies, LLC | Raleigh | Fewer than 5 | $3.5 million | $457.5 million | adviserinfo.sec.gov |
| Collegiate Capital Management, Inc. | Raleigh | Fewer than 5 | $3.5 million | $653 million | adviserinfo.sec.gov |
| Crown Wealth Group LLC | Charlotte | 2 | $3.5 million | $502.4 million | adviserinfo.sec.gov |
| Uwharrie Investment Advisors, Inc. | Albemarle | Fewer than 5 | $3.3 million | $337.8 million | adviserinfo.sec.gov |
| Peace of Mind Wealth Management | Raleigh | 5 | $3.1 million | $283.3 million | adviserinfo.sec.gov |
| Reh Wealth Advisors LLC | Raleigh | Fewer than 5 | $3 million | $110.5 million | adviserinfo.sec.gov |
| Wealthpoint Advisors | Cramerton | 4 | $3 million | $147.1 million | adviserinfo.sec.gov |
| ARK Royal Wealth Management LLC | Raleigh | 6 | $2.6 million | $169.3 million | adviserinfo.sec.gov |
| Joel Adams and Associates Inc. | Asheville | Fewer than 5 | $2.4 million | $305.6 million | adviserinfo.sec.gov |
| Horizon Financial Services, LLC | Winston Salem | 2 | $2.1 million | $262.4 million | adviserinfo.sec.gov |
| Investor Advisory Group | Charlotte | 1 | $1.7 million | $172.1 million | adviserinfo.sec.gov |
| Pinafore Wealth Counsel Inc. | Durham | 1 | $1.4 million | $173.6 million | adviserinfo.sec.gov |
| Family Wealth Partners, LLC | Matthews | Fewer than 5 | $1.4 million | $392.4 million | adviserinfo.sec.gov |
| Live Oak Private Wealth, LLC | Wilmington | 1 | $1.4 million | $1.32 billion | adviserinfo.sec.gov |
| Alpha Financial Advisors, LLC | Charlotte | Fewer than 5 | $1.3 million | $619.3 million | adviserinfo.sec.gov |
| First Oak Wealth Management, LLC | Raleigh | Fewer than 5 | $1.1 million | $316.2 million | adviserinfo.sec.gov |
| Amphora Wealth Management, LLC | Chapel Hill | Fewer than 5 | $950,234 | $196.2 million | adviserinfo.sec.gov |
| Crossgen Wealth LLC | Greenville | 2 | $924,200 | $222.8 million | adviserinfo.sec.gov |
| Independent Wealth Advisors, LLC | Cary | 2 | $844,798 | $195.3 million | adviserinfo.sec.gov |
| WMS Advisors, LLC | Charlotte | Fewer than 5 | $687,717 | $280.9 million | adviserinfo.sec.gov |
| Act Advisors | Asheville | 1 | $596,866 | $498.9 million | adviserinfo.sec.gov |
| Reliant Investment Partners, LLC | Pinehurst | Fewer than 5 | $547,975 | $268.3 million | adviserinfo.sec.gov |
| Old North State Wealth Management, LLC | Wilmington | 1 | $345,268 | $452.6 million | adviserinfo.sec.gov |
| Armor Investment Advisors, LLC | Raleigh | 1 | $288,653 | $356 million | adviserinfo.sec.gov |
| MBL Advisors | Charlotte | Fewer than 5 | $128,935 | $1.42 billion | adviserinfo.sec.gov |
| Auctus Advisors LLC | Charlotte | 14 | Not listed | $612.9 million | adviserinfo.sec.gov |
| Tilia Fiduciary Partners, Inc. | Wilmington | 12 | Not listed | $403.7 million | adviserinfo.sec.gov |
Also on SpecStream
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.