# Financial advisors in Charlotte, NC

> AdvisorCensus lists 221 investment advisory firms with a principal office in the Charlotte metro area, drawn from Form ADV filings as of October 2026. Firms are listed alphabetically; sort by years registered or assets band using the controls below. Firms may request removal from the directory, so this count can differ from the number of firms that file Form ADV.

Source: Form ADV filings as of October 2026. Rebuilt monthly. HTML page: https://advisorcensus.com/advisors/nc/charlotte/page/5

## At a glance

- Investment advisory firms: 221
- Registration: SEC-registered investment adviser: 124, State-registered investment adviser: 83, Exempt reporting adviser: 14
- How firms are compensated (Form ADV Item 5.E; shares of the firms that file it): Fee-only (AdvisorCensus test) 67 (32%); Percentage of assets 200 (97%); Hourly charges 90 (43%); Subscription fees (newsletter or periodical) 2 (1%); Fixed fees 124 (60%); Commissions 5 (2%); Performance-based fees 34 (16%); Other 22 (11%); No compensation arrangements reported 14
- Regulatory assets under management (Item 5.F): Under $25 million 37 (17%); $25 million to $100 million 44 (20%); $100 million to $500 million 60 (27%); $500 million to $1 billion 16 (7%); $1 billion to $5 billion 23 (10%); Over $5 billion 20 (9%); Not reported 21 (10%)
- Years registered: Under 5 years 82 (37%); 5 to 9 years 56 (25%); 10 to 19 years 59 (27%); 20 years or more 23 (10%); Not reported 1 (0%)

## Firms (page 5 of 5, 201 to 221 of 221, sorted by name)

| Firm | CRD | City | Registration | Assets band | Years registered | Compensation |
| --- | --- | --- | --- | --- | --- | --- |
| [Thompson Wealth Advisors](https://advisorcensus.com/firm/thompson-wealth-advisors-statesville-nc-140871) ([md](https://advisorcensus.com/firm/thompson-wealth-advisors-statesville-nc-140871.md)) | 140871 | Statesville, NC | State-registered investment adviser | $25 million to $100 million | 20 | % of assets, Fixed fee, Other |
| [Topsail Wealth Management LLC](https://advisorcensus.com/firm/topsail-wealth-management-llc-charlotte-nc-331098) ([md](https://advisorcensus.com/firm/topsail-wealth-management-llc-charlotte-nc-331098.md)) | 331098 | Charlotte, NC | SEC-registered investment adviser | $1 billion to $5 billion | 2 | % of assets, Fixed fee |
| [Totem Wealth Management LLC](https://advisorcensus.com/firm/totem-wealth-management-llc-charlotte-nc-327820) ([md](https://advisorcensus.com/firm/totem-wealth-management-llc-charlotte-nc-327820.md)) | 327820 | Charlotte, NC | State-registered investment adviser | Under $25 million | 3 | % of assets, Fixed fee |
| [Tricapital Wealth Management, Inc.](https://advisorcensus.com/firm/tricapital-wealth-management-inc-charlotte-nc-118788) ([md](https://advisorcensus.com/firm/tricapital-wealth-management-inc-charlotte-nc-118788.md)) | 118788 | Charlotte, NC | SEC-registered investment adviser | $100 million to $500 million | 4 | % of assets, Hourly |
| [Trident Advisory Partners, LLC](https://advisorcensus.com/firm/trident-advisory-partners-llc-charlotte-nc-326959) ([md](https://advisorcensus.com/firm/trident-advisory-partners-llc-charlotte-nc-326959.md)) | 326959 | Charlotte, NC | State-registered investment adviser | Not reported | 3 | % of assets, Hourly, Fixed fee |
| [Trusttree Financial LLC](https://advisorcensus.com/firm/trusttree-financial-llc-huntersville-nc-287985) ([md](https://advisorcensus.com/firm/trusttree-financial-llc-huntersville-nc-287985.md)) | 287985 | Huntersville, NC | State-registered investment adviser | $25 million to $100 million | 9 | % of assets, Hourly, Fixed fee |
| [Turning Point Financial, Inc.](https://advisorcensus.com/firm/turning-point-financial-inc-charlotte-nc-138008) ([md](https://advisorcensus.com/firm/turning-point-financial-inc-charlotte-nc-138008.md)) | 138008 | Charlotte, NC | State-registered investment adviser | $25 million to $100 million | 15 | % of assets, Hourly, Fixed fee |
| [Variant Perception](https://advisorcensus.com/firm/variant-perception-charlotte-nc-334510) ([md](https://advisorcensus.com/firm/variant-perception-charlotte-nc-334510.md)) | 334510 | Charlotte, NC | SEC-registered investment adviser | $25 million to $100 million | 0 | % of assets, Subscription, Other |
| [Verum Partners LLC](https://advisorcensus.com/firm/verum-partners-llc-charlotte-nc-301058) ([md](https://advisorcensus.com/firm/verum-partners-llc-charlotte-nc-301058.md)) | 301058 | Charlotte, NC | SEC-registered investment adviser | $1 billion to $5 billion | 7 | % of assets, Fixed fee |
| [Vintage Asset Advisors, LLC](https://advisorcensus.com/firm/vintage-asset-advisors-llc-charlotte-nc-154866) ([md](https://advisorcensus.com/firm/vintage-asset-advisors-llc-charlotte-nc-154866.md)) | 154866 | Charlotte, NC | State-registered investment adviser | $25 million to $100 million | 16 | % of assets |
| [Vintage Wealth Management Group](https://advisorcensus.com/firm/vintage-wealth-management-group-charlotte-nc-151092) ([md](https://advisorcensus.com/firm/vintage-wealth-management-group-charlotte-nc-151092.md)) | 151092 | Charlotte, NC | State-registered investment adviser | $25 million to $100 million | 17 | % of assets, Hourly |
| [Vision Capital & Management](https://advisorcensus.com/firm/vision-capital-and-management-davidson-nc-118363) ([md](https://advisorcensus.com/firm/vision-capital-and-management-davidson-nc-118363.md)) | 118363 | Davidson, NC | SEC-registered investment adviser | $100 million to $500 million | 20 | % of assets, Fixed fee |
| [Wealth Rabbit](https://advisorcensus.com/firm/wealth-rabbit-rock-hill-sc-330633) ([md](https://advisorcensus.com/firm/wealth-rabbit-rock-hill-sc-330633.md)) | 330633 | Rock Hill, SC | State-registered investment adviser | Under $25 million | 2 | % of assets, Fixed fee |
| [Wealthpoint Advisors](https://advisorcensus.com/firm/wealthpoint-advisors-cramerton-nc-332312) ([md](https://advisorcensus.com/firm/wealthpoint-advisors-cramerton-nc-332312.md)) | 332312 | Cramerton, NC | SEC-registered investment adviser | $100 million to $500 million | 2 | % of assets, Hourly, Fixed fee |
| [Wedge Capital Management LLP](https://advisorcensus.com/firm/wedge-capital-management-llp-charlotte-nc-106234) ([md](https://advisorcensus.com/firm/wedge-capital-management-llp-charlotte-nc-106234.md)) | 106234 | Charlotte, NC | SEC-registered investment adviser | Over $5 billion | 39 | % of assets |
| [Wells Fargo Investment Institute, Inc.](https://advisorcensus.com/firm/wells-fargo-investment-institute-inc-charlotte-nc-133204) ([md](https://advisorcensus.com/firm/wells-fargo-investment-institute-inc-charlotte-nc-133204.md)) | 133204 | Charlotte, NC | SEC-registered investment adviser | Over $5 billion | 21 | % of assets, Fixed fee |
| [WMC Capital Management, LLC](https://advisorcensus.com/firm/wmc-capital-management-llc-concord-nc-329845) ([md](https://advisorcensus.com/firm/wmc-capital-management-llc-concord-nc-329845.md)) | 329845 | Concord, NC | State-registered investment adviser | Under $25 million | 2 | % of assets, Hourly, Fixed fee |
| [WMS Advisors, LLC](https://advisorcensus.com/firm/wms-advisors-llc-charlotte-nc-122224) ([md](https://advisorcensus.com/firm/wms-advisors-llc-charlotte-nc-122224.md)) | 122224 | Charlotte, NC | SEC-registered investment adviser | $100 million to $500 million | 9 | % of assets, Hourly |
| [Worth Advisors](https://advisorcensus.com/firm/worth-advisors-charlotte-nc-156564) ([md](https://advisorcensus.com/firm/worth-advisors-charlotte-nc-156564.md)) | 156564 | Charlotte, NC | SEC-registered investment adviser | $100 million to $500 million | 5 | % of assets, Hourly, Fixed fee |
| [WSC & Company, LLC](https://advisorcensus.com/firm/wsc-and-company-llc-charlotte-nc-289138) ([md](https://advisorcensus.com/firm/wsc-and-company-llc-charlotte-nc-289138.md)) | 289138 | Charlotte, NC | SEC-registered investment adviser | $100 million to $500 million | 3 | % of assets |
| [Y Investments, LLC](https://advisorcensus.com/firm/y-investments-llc-charlotte-nc-338675) ([md](https://advisorcensus.com/firm/y-investments-llc-charlotte-nc-338675.md)) | 338675 | Charlotte, NC | Exempt reporting adviser | Not reported | 1 | Not reported |

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## Questions people ask

**How many financial advisory firms are there in Charlotte, NC?**
AdvisorCensus lists 221 investment advisory firms with a principal office in the Charlotte metro area, from Form ADV filings as of October 2026: 124 SEC-registered, 83 state-registered, and 14 exempt reporting advisers. Firms may request removal, so the count can differ slightly from the number of firms that file Form ADV.

**How many fee-only financial advisors are in Charlotte, NC?**
67 of the 221 firms meet AdvisorCensus's fee-only test: paid only by a percentage of assets, hourly charges, fixed fees, or subscription fees on Form ADV Item 5.E (no commissions, performance-based fees, or other compensation), with no sales-related compensation ties in the same filing: no employee registered with a broker-dealer or licensed as an insurance agent (Item 5.B), no brokerage, insurance, real estate, or other product sales business (Item 6.A), no related broker-dealer, insurance company, real estate broker, or futures commission merchant (Item 7.A), and no referral fees from others or other sales interest (Item 8). Form ADV has no fee-only box, so this is derived from the filing; it is not a fee-only certification, and a firm's own page lists its compensation arrangements as filed.

**How many financial advisors in Charlotte, NC offer financial planning?**
147 of the 207 firms in Charlotte, NC that answer Form ADV Item 5.G, which asks what advisory services a firm provides, report financial planning services, as of October 2026. Exempt reporting advisers do not answer Item 5.G. Each firm page lists every advisory service the firm reports.

**Are the financial advisors in Charlotte, NC fiduciaries?**
Every firm on this page is an investment adviser that files Form ADV, and an investment adviser owes its clients a fiduciary duty under federal law, made up of a duty of care and a duty of loyalty: it must act in the client's best interest and not put its own interests ahead of the client's, and must eliminate its conflicts of interest or disclose them fully and fairly. Form ADV has no fiduciary box because the duty comes with being an investment adviser. The duty covers the firm's advice; a firm or its people may also sell securities through a broker-dealer or insurance as licensed agents, roles held to other standards. The 67 firms that meet AdvisorCensus's fee-only test report none of those sales ties.

**How do I check whether a financial advisor has disciplinary disclosures?**
Each firm page shows how many Form ADV Item 11 disciplinary questions the firm answered yes and links to the firm's record on the SEC's Investment Adviser Public Disclosure site (adviserinfo.sec.gov), where the detail of each disclosure is public. Individual advisers' records are on the same site and on FINRA BrokerCheck.

**Does AdvisorCensus rate, verify, or recommend these firms?**
No. The directory shows what each firm filed, in alphabetical order unless you choose another sort, and no firm's position depends on payment. Firms that claim their page can add a description and links, marked as provided by the firm; the filed facts are never changed by that content.

**What does regulatory assets under management mean?**
Regulatory assets under management (RAUM) is the figure a firm reports on Form ADV Item 5.F: the securities portfolios it provides continuous and regular supervisory or management services for, at market value, including assets managed without discretion. It measures scale, not performance or quality.

## Related pages

- [Financial advisors in North Carolina](https://advisorcensus.com/advisors/nc) (https://advisorcensus.com/advisors/nc.md)
- [Financial advisors in Charlotte, NC](https://advisorcensus.com/advisors/nc/charlotte) (https://advisorcensus.com/advisors/nc/charlotte.md)
- [Fee-only financial advisors in Charlotte, NC](https://advisorcensus.com/advisors/nc/charlotte/fee-only) (https://advisorcensus.com/advisors/nc/charlotte/fee-only.md)
- [Flat-fee financial advisors in Charlotte, NC](https://advisorcensus.com/advisors/nc/charlotte/flat-fee) (https://advisorcensus.com/advisors/nc/charlotte/flat-fee.md)
- [Hourly financial advisors in Charlotte, NC](https://advisorcensus.com/advisors/nc/charlotte/hourly) (https://advisorcensus.com/advisors/nc/charlotte/hourly.md)
- [Financial advisors in Raleigh](https://advisorcensus.com/advisors/nc/raleigh) (https://advisorcensus.com/advisors/nc/raleigh.md)
- [Financial advisors in Durham](https://advisorcensus.com/advisors/nc/durham) (https://advisorcensus.com/advisors/nc/durham.md)
- [Financial advisors in Greensboro](https://advisorcensus.com/advisors/nc/greensboro) (https://advisorcensus.com/advisors/nc/greensboro.md)
- [Financial advisors in Winston-Salem](https://advisorcensus.com/advisors/nc/winston-salem) (https://advisorcensus.com/advisors/nc/winston-salem.md)
- [Financial advisors in Asheville](https://advisorcensus.com/advisors/nc/asheville) (https://advisorcensus.com/advisors/nc/asheville.md)
- [Financial advisors in Wilmington](https://advisorcensus.com/advisors/nc/wilmington) (https://advisorcensus.com/advisors/nc/wilmington.md)
- [Financial advisors in Pinehurst](https://advisorcensus.com/advisors/nc/pinehurst) (https://advisorcensus.com/advisors/nc/pinehurst.md)
- [Financial advisors in Greenville](https://advisorcensus.com/advisors/nc/greenville) (https://advisorcensus.com/advisors/nc/greenville.md)

Every firm in this list as CSV: https://advisorcensus.com/advisors/nc/charlotte.csv

Cite as: AdvisorCensus. Financial advisors in Charlotte, NC: 221 firms from Form ADV filings as of October 2026.