{
  "path": "/advisors/nc/raleigh/no-account-minimum",
  "url": "https://advisorcensus.com/advisors/nc/raleigh/no-account-minimum",
  "page_type": "metro_answer",
  "title": "Financial advisors with no account minimum in Raleigh, NC",
  "filters": {},
  "scope_total": 15,
  "faq": [
    {
      "q": "Which financial advisors in Raleigh, NC have no account minimum?",
      "a": "15 investment advisory firms with a principal office in the Raleigh metro area state in their Form ADV Part 2A brochure that they have no account minimum, as of October 2026; this page lists them. A firm appears here when its current Form ADV Part 2A brochure says it has no account minimum and AdvisorCensus found that sentence word for word in the brochure, with no other minimum beside it. Only brochures AdvisorCensus has read count, so a firm missing here may have no minimum without stating it; and a firm can still decline an account, or set a minimum fee, which its page shows when the brochure states one."
    },
    {
      "q": "How many financial advisory firms are there in Raleigh, NC?",
      "a": "AdvisorCensus lists 124 investment advisory firms with a principal office in the Raleigh metro area, from Form ADV filings as of October 2026: 72 SEC-registered, 44 state-registered, and 8 exempt reporting advisers. Firms may request removal, so the count can differ slightly from the number of firms that file Form ADV."
    },
    {
      "q": "How many fee-only financial advisors are in Raleigh, NC?",
      "a": "40 of the 124 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."
    },
    {
      "q": "How many financial advisors in Raleigh, NC offer financial planning?",
      "a": "91 of the 116 firms in Raleigh, 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."
    },
    {
      "q": "Are the financial advisors in Raleigh, NC fiduciaries?",
      "a": "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 40 firms that meet AdvisorCensus's fee-only test report none of those sales ties."
    },
    {
      "q": "How do I check whether a financial advisor has disciplinary disclosures?",
      "a": "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."
    },
    {
      "q": "Does AdvisorCensus rate, verify, or recommend these firms?",
      "a": "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."
    },
    {
      "q": "What does regulatory assets under management mean?",
      "a": "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."
    }
  ],
  "period": "2026-10-01",
  "answer_paragraph": "AdvisorCensus lists 15 investment advisory firms with a principal office in the Raleigh metro area whose Form ADV Part 2A brochure states that the firm has no account minimum, a sentence checked word for word in the brochure, from filings as of October 2026. Firms are listed alphabetically; each firm's page quotes the brochure.",
  "about_market": "Raleigh has 124 investment advisory firms with a principal office in the metro area as of October 2026: 72 SEC-registered, 44 state-registered, and 8 exempt reporting advisers. 40 of them meet AdvisorCensus's fee-only test (paid only by client fees, with no sales-related compensation ties such as an employee registered with a broker-dealer or licensed as an insurance agent), and 38 report under $100 million in regulatory assets under management. The metro area has 574,295 households, 105,930 of them with income of $200,000 or more, or 854 such households for each firm (Census Bureau, American Community Survey 2020–2024 5-year estimates).",
  "citation": "AdvisorCensus. Financial advisors with no account minimum in Raleigh, NC: 15 firms from Form ADV filings as of October 2026.",
  "total_firms": 15,
  "page": 1,
  "total_pages": 1,
  "sort": "name",
  "registration_types": {
    "sec": 15,
    "state": 0,
    "exempt": 0
  },
  "fee_model_mix": [
    {
      "code": "fee-only",
      "count": 4
    },
    {
      "code": "percentage_of_aum",
      "count": 15
    },
    {
      "code": "hourly",
      "count": 7
    },
    {
      "code": "subscription",
      "count": 0
    },
    {
      "code": "fixed",
      "count": 10
    },
    {
      "code": "commissions",
      "count": 0
    },
    {
      "code": "performance_based",
      "count": 0
    },
    {
      "code": "other",
      "count": 1
    },
    {
      "code": "not_reported",
      "count": 0
    }
  ],
  "years_registered_distribution": [
    {
      "code": "under_5",
      "count": 10
    },
    {
      "code": "5_to_9",
      "count": 3
    },
    {
      "code": "10_to_19",
      "count": 1
    },
    {
      "code": "20_plus",
      "count": 1
    },
    {
      "code": "not_reported",
      "count": 0
    }
  ],
  "raum_band_distribution": [
    {
      "code": "under_25m",
      "count": 0
    },
    {
      "code": "25m_100m",
      "count": 0
    },
    {
      "code": "100m_500m",
      "count": 12
    },
    {
      "code": "500m_1b",
      "count": 1
    },
    {
      "code": "1b_5b",
      "count": 2
    },
    {
      "code": "over_5b",
      "count": 0
    },
    {
      "code": "not_reported",
      "count": 0
    }
  ],
  "firms": [
    {
      "crd_number": 304967,
      "name": "Advisorstrust Partners LLC",
      "name_as_filed": "ADVISORSTRUST PARTNERS LLC",
      "url": "https://advisorcensus.com/firm/advisorstrust-partners-llc-raleigh-nc-304967",
      "city": "Raleigh",
      "state": "NC",
      "years_registered": 1,
      "raum_band": "100m_500m",
      "compensation_types": [
        "percentage_of_aum",
        "hourly"
      ],
      "enhanced": false
    },
    {
      "crd_number": 325125,
      "name": "AIM Advisors, LLC",
      "name_as_filed": "AIM ADVISORS, LLC",
      "url": "https://advisorcensus.com/firm/aim-advisors-llc-raleigh-nc-325125",
      "city": "Raleigh",
      "state": "NC",
      "years_registered": 3,
      "raum_band": "100m_500m",
      "compensation_types": [
        "percentage_of_aum",
        "hourly",
        "fixed"
      ],
      "enhanced": false
    },
    {
      "crd_number": 162299,
      "name": "Charter Wealth Management",
      "name_as_filed": "CHARTER WEALTH MANAGEMENT",
      "url": "https://advisorcensus.com/firm/charter-wealth-management-raleigh-nc-162299",
      "city": "Raleigh",
      "state": "NC",
      "years_registered": 6,
      "raum_band": "100m_500m",
      "compensation_types": [
        "percentage_of_aum",
        "hourly",
        "fixed"
      ],
      "enhanced": false
    },
    {
      "crd_number": 118205,
      "name": "Collegiate Capital Management, Inc.",
      "name_as_filed": "COLLEGIATE CAPITAL MANAGEMENT, INC.",
      "url": "https://advisorcensus.com/firm/collegiate-capital-management-inc-raleigh-nc-118205",
      "city": "Raleigh",
      "state": "NC",
      "years_registered": 21,
      "raum_band": "500m_1b",
      "compensation_types": [
        "percentage_of_aum"
      ],
      "enhanced": false
    },
    {
      "crd_number": 314351,
      "name": "Family Legacy Financial Solutions, LLC",
      "name_as_filed": "FAMILY LEGACY FINANCIAL SOLUTIONS, LLC",
      "url": "https://advisorcensus.com/firm/family-legacy-financial-solutions-llc-cary-nc-314351",
      "city": "Cary",
      "state": "NC",
      "years_registered": 1,
      "raum_band": "100m_500m",
      "compensation_types": [
        "percentage_of_aum",
        "fixed"
      ],
      "enhanced": false
    },
    {
      "crd_number": 288316,
      "name": "First Oak Wealth Management, LLC",
      "name_as_filed": "FIRST OAK WEALTH MANAGEMENT, LLC",
      "url": "https://advisorcensus.com/firm/first-oak-wealth-management-llc-raleigh-nc-288316",
      "city": "Raleigh",
      "state": "NC",
      "years_registered": 8,
      "raum_band": "100m_500m",
      "compensation_types": [
        "percentage_of_aum",
        "hourly"
      ],
      "enhanced": false
    },
    {
      "crd_number": 305412,
      "name": "Guardian Wealth Advisors, LLC",
      "name_as_filed": "GUARDIAN WEALTH ADVISORS, LLC",
      "url": "https://advisorcensus.com/firm/guardian-wealth-advisors-llc-raleigh-nc-305412",
      "city": "Raleigh",
      "state": "NC",
      "years_registered": 6,
      "raum_band": "1b_5b",
      "compensation_types": [
        "percentage_of_aum",
        "hourly",
        "fixed"
      ],
      "enhanced": false
    },
    {
      "crd_number": 323171,
      "name": "Hicks & Associates Wealth Management, LLC",
      "name_as_filed": "HICKS & ASSOCIATES WEALTH MANAGEMENT, LLC",
      "url": "https://advisorcensus.com/firm/hicks-and-associates-wealth-management-llc-cary-nc-323171",
      "city": "Cary",
      "state": "NC",
      "years_registered": 3,
      "raum_band": "100m_500m",
      "compensation_types": [
        "percentage_of_aum",
        "hourly",
        "fixed"
      ],
      "enhanced": false
    },
    {
      "crd_number": 162220,
      "name": "Oak City Investment Consulting",
      "name_as_filed": "OAK CITY INVESTMENT CONSULTING",
      "url": "https://advisorcensus.com/firm/oak-city-investment-consulting-wake-forest-nc-162220",
      "city": "Wake Forest",
      "state": "NC",
      "years_registered": 14,
      "raum_band": "1b_5b",
      "compensation_types": [
        "percentage_of_aum",
        "fixed",
        "other"
      ],
      "enhanced": false
    },
    {
      "crd_number": 325303,
      "name": "Pendleton Financial Wealth Management",
      "name_as_filed": "PENDLETON FINANCIAL WEALTH MANAGEMENT",
      "url": "https://advisorcensus.com/firm/pendleton-financial-wealth-management-raleigh-nc-325303",
      "city": "Raleigh",
      "state": "NC",
      "years_registered": 3,
      "raum_band": "100m_500m",
      "compensation_types": [
        "percentage_of_aum",
        "fixed"
      ],
      "enhanced": false
    },
    {
      "crd_number": 284843,
      "name": "Ridgeline Wealth Advisors, LLC.",
      "name_as_filed": "RIDGELINE WEALTH ADVISORS, LLC.",
      "url": "https://advisorcensus.com/firm/ridgeline-wealth-advisors-llc-raleigh-nc-284843",
      "city": "Raleigh",
      "state": "NC",
      "years_registered": 2,
      "raum_band": "100m_500m",
      "compensation_types": [
        "percentage_of_aum",
        "hourly",
        "fixed"
      ],
      "enhanced": false
    },
    {
      "crd_number": 122670,
      "name": "Sound Financial Management, Inc.",
      "name_as_filed": "SOUND FINANCIAL MANAGEMENT, INC.",
      "url": "https://advisorcensus.com/firm/sound-financial-management-inc-raleigh-nc-122670",
      "city": "Raleigh",
      "state": "NC",
      "years_registered": 1,
      "raum_band": "100m_500m",
      "compensation_types": [
        "percentage_of_aum"
      ],
      "enhanced": false
    },
    {
      "crd_number": 328530,
      "name": "TAR River Wealth Planning, LLC",
      "name_as_filed": "TAR RIVER WEALTH PLANNING, LLC",
      "url": "https://advisorcensus.com/firm/tar-river-wealth-planning-llc-louisburg-nc-328530",
      "city": "Louisburg",
      "state": "NC",
      "years_registered": 2,
      "raum_band": "100m_500m",
      "compensation_types": [
        "percentage_of_aum",
        "fixed"
      ],
      "enhanced": false
    },
    {
      "crd_number": 302115,
      "name": "Tolley Financial Group, LLC",
      "name_as_filed": "TOLLEY FINANCIAL GROUP, LLC",
      "url": "https://advisorcensus.com/firm/tolley-financial-group-llc-raleigh-nc-302115",
      "city": "Raleigh",
      "state": "NC",
      "years_registered": 0,
      "raum_band": "100m_500m",
      "compensation_types": [
        "percentage_of_aum",
        "fixed"
      ],
      "enhanced": false
    },
    {
      "crd_number": 317324,
      "name": "White Oak Wealth Partners",
      "name_as_filed": "WHITE OAK WEALTH PARTNERS",
      "url": "https://advisorcensus.com/firm/white-oak-wealth-partners-raleigh-nc-317324",
      "city": "Raleigh",
      "state": "NC",
      "years_registered": 0,
      "raum_band": "100m_500m",
      "compensation_types": [
        "percentage_of_aum"
      ],
      "enhanced": false
    }
  ],
  "states": [],
  "metros": [],
  "siblings": {
    "national": "/advisors",
    "state": {
      "path": "/advisors/nc",
      "label": "Financial advisors in North Carolina"
    },
    "metro": {
      "path": "/advisors/nc/raleigh",
      "label": "Financial advisors in Raleigh, NC"
    },
    "city_pages": [
      {
        "path": "/advisors/nc/raleigh/cary",
        "label": "Financial advisors in Cary, NC",
        "firm_count": 20
      }
    ],
    "fee_pages": [
      {
        "path": "/advisors/nc/raleigh/fee-only",
        "label": "Fee-only financial advisors in Raleigh, NC",
        "firm_count": 40
      },
      {
        "path": "/advisors/nc/raleigh/flat-fee",
        "label": "Flat-fee financial advisors in Raleigh, NC",
        "firm_count": 75
      },
      {
        "path": "/advisors/nc/raleigh/hourly",
        "label": "Hourly financial advisors in Raleigh, NC",
        "firm_count": 62
      }
    ],
    "answer_pages": [
      {
        "path": "/advisors/nc/raleigh/for-high-net-worth-individuals",
        "firm_count": 83,
        "label": "Financial advisors for high-net-worth individuals in Raleigh, NC"
      },
      {
        "path": "/advisors/nc/raleigh/for-retirement-plans",
        "firm_count": 33,
        "label": "Financial advisors for retirement plans in Raleigh, NC"
      },
      {
        "path": "/advisors/nc/raleigh/for-businesses",
        "firm_count": 38,
        "label": "Financial advisors for businesses in Raleigh, NC"
      },
      {
        "path": "/advisors/nc/raleigh/for-charities",
        "firm_count": 26,
        "label": "Financial advisors for charitable organizations in Raleigh, NC"
      }
    ],
    "niche_pages": [
      {
        "path": "/advisors/nc/raleigh/faith-based-investing",
        "firm_count": 1,
        "label": "Financial advisors for faith-based investing in Raleigh, NC"
      }
    ]
  },
  "csv": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}