# Financial advisors in Raleigh, NC

> AdvisorCensus lists 124 investment advisory firms with a principal office in the Raleigh 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/raleigh/page/3

## At a glance

- Investment advisory firms: 124
- Registration: SEC-registered investment adviser: 72, State-registered investment adviser: 44, Exempt reporting adviser: 8
- How firms are compensated (Form ADV Item 5.E; shares of the firms that file it): Fee-only (AdvisorCensus test) 40 (34%); Percentage of assets 110 (95%); Hourly charges 62 (53%); Subscription fees (newsletter or periodical) 1 (1%); Fixed fees 75 (65%); Commissions 1 (1%); Performance-based fees 16 (14%); Other 15 (13%); No compensation arrangements reported 8
- Regulatory assets under management (Item 5.F): Under $25 million 19 (15%); $25 million to $100 million 19 (15%); $100 million to $500 million 45 (36%); $500 million to $1 billion 7 (6%); $1 billion to $5 billion 15 (12%); Over $5 billion 2 (2%); Not reported 17 (14%)
- Years registered: Under 5 years 56 (45%); 5 to 9 years 31 (25%); 10 to 19 years 21 (17%); 20 years or more 16 (13%)

## Firms (page 3 of 3, 101 to 124 of 124, sorted by name)

| Firm | CRD | City | Registration | Assets band | Years registered | Compensation |
| --- | --- | --- | --- | --- | --- | --- |
| [Sovereign Financial Group](https://advisorcensus.com/firm/sovereign-financial-group-raleigh-nc-137145) ([md](https://advisorcensus.com/firm/sovereign-financial-group-raleigh-nc-137145.md)) | 137145 | Raleigh, NC | State-registered investment adviser | $25 million to $100 million | 20 | % of assets |
| [Stone Legacy Capital LLC](https://advisorcensus.com/firm/stone-legacy-capital-llc-raleigh-nc-334218) ([md](https://advisorcensus.com/firm/stone-legacy-capital-llc-raleigh-nc-334218.md)) | 334218 | Raleigh, NC | State-registered investment adviser | Under $25 million | 1 | % of assets, Hourly, Fixed fee |
| [Tackett Wealth Management, LLC](https://advisorcensus.com/firm/tackett-wealth-management-llc-cary-nc-149056) ([md](https://advisorcensus.com/firm/tackett-wealth-management-llc-cary-nc-149056.md)) | 149056 | Cary, NC | State-registered investment adviser | $25 million to $100 million | 17 | % of assets, Hourly, Fixed fee |
| [Taelos Financial Partners LLC](https://advisorcensus.com/firm/taelos-financial-partners-llc-apex-nc-320700) ([md](https://advisorcensus.com/firm/taelos-financial-partners-llc-apex-nc-320700.md)) | 320700 | Apex, NC | State-registered investment adviser | Under $25 million | 4 | % of assets, Hourly |
| [TAR River Wealth Planning, LLC](https://advisorcensus.com/firm/tar-river-wealth-planning-llc-louisburg-nc-328530) ([md](https://advisorcensus.com/firm/tar-river-wealth-planning-llc-louisburg-nc-328530.md)) | 328530 | Louisburg, NC | SEC-registered investment adviser | $100 million to $500 million | 2 | % of assets, Fixed fee |
| [Tara Wealth](https://advisorcensus.com/firm/tara-wealth-raleigh-nc-328427) ([md](https://advisorcensus.com/firm/tara-wealth-raleigh-nc-328427.md)) | 328427 | Raleigh, NC | State-registered investment adviser | Under $25 million | 2 | % of assets, Hourly, Fixed fee |
| [Testament Wealth Management](https://advisorcensus.com/firm/testament-wealth-management-cary-nc-340823) ([md](https://advisorcensus.com/firm/testament-wealth-management-cary-nc-340823.md)) | 340823 | Cary, NC | State-registered investment adviser | Under $25 million | 0 | % of assets, Hourly, Fixed fee |
| [The Wealth Group, Ltd](https://advisorcensus.com/firm/the-wealth-group-ltd-raleigh-nc-154106) ([md](https://advisorcensus.com/firm/the-wealth-group-ltd-raleigh-nc-154106.md)) | 154106 | Raleigh, NC | SEC-registered investment adviser | $100 million to $500 million | 3 | % of assets, Hourly |
| [Tilly, Inc.](https://advisorcensus.com/firm/tilly-inc-raleigh-nc-300631) ([md](https://advisorcensus.com/firm/tilly-inc-raleigh-nc-300631.md)) | 300631 | Raleigh, NC | State-registered investment adviser | Not reported | 7 | Hourly, Fixed fee |
| [Timeless Wealth Management](https://advisorcensus.com/firm/timeless-wealth-management-raleigh-nc-299128) ([md](https://advisorcensus.com/firm/timeless-wealth-management-raleigh-nc-299128.md)) | 299128 | Raleigh, NC | State-registered investment adviser | Under $25 million | 7 | % of assets, Hourly, Fixed fee, Other |
| [Tiverton Advisors, LLC](https://advisorcensus.com/firm/tiverton-advisors-llc-raleigh-nc-305331) ([md](https://advisorcensus.com/firm/tiverton-advisors-llc-raleigh-nc-305331.md)) | 305331 | Raleigh, NC | SEC-registered investment adviser | $1 billion to $5 billion | 5 | % of assets, Performance fee, Other |
| [Tolley Financial Group, LLC](https://advisorcensus.com/firm/tolley-financial-group-llc-raleigh-nc-302115) ([md](https://advisorcensus.com/firm/tolley-financial-group-llc-raleigh-nc-302115.md)) | 302115 | Raleigh, NC | SEC-registered investment adviser | $100 million to $500 million | 0 | % of assets, Fixed fee |
| [Top Rank Wealth Management, LLC](https://advisorcensus.com/firm/top-rank-wealth-management-llc-raleigh-nc-341288) ([md](https://advisorcensus.com/firm/top-rank-wealth-management-llc-raleigh-nc-341288.md)) | 341288 | Raleigh, NC | State-registered investment adviser | Under $25 million | 0 | % of assets, Fixed fee |
| [Townsend Asset Management Corp.](https://advisorcensus.com/firm/townsend-asset-management-corp-raleigh-nc-108216) ([md](https://advisorcensus.com/firm/townsend-asset-management-corp-raleigh-nc-108216.md)) | 108216 | Raleigh, NC | SEC-registered investment adviser | $100 million to $500 million | 43 | % of assets, Hourly, Fixed fee |
| [Tradewinds, LLC](https://advisorcensus.com/firm/tradewinds-llc-raleigh-nc-316415) ([md](https://advisorcensus.com/firm/tradewinds-llc-raleigh-nc-316415.md)) | 316415 | Raleigh, NC | SEC-registered investment adviser | $500 million to $1 billion | 4 | % of assets, Fixed fee |
| [TRG Capital Management, Inc.](https://advisorcensus.com/firm/trg-capital-management-inc-raleigh-nc-146674) ([md](https://advisorcensus.com/firm/trg-capital-management-inc-raleigh-nc-146674.md)) | 146674 | Raleigh, NC | SEC-registered investment adviser | $100 million to $500 million | 0 | % of assets, Hourly, Performance fee |
| [Triangle Wealth Management](https://advisorcensus.com/firm/triangle-wealth-management-raleigh-nc-148156) ([md](https://advisorcensus.com/firm/triangle-wealth-management-raleigh-nc-148156.md)) | 148156 | Raleigh, NC | SEC-registered investment adviser | $1 billion to $5 billion | 18 | % of assets |
| [University Financial Strategies, LLC.](https://advisorcensus.com/firm/university-financial-strategies-llc-raleigh-nc-297121) ([md](https://advisorcensus.com/firm/university-financial-strategies-llc-raleigh-nc-297121.md)) | 297121 | Raleigh, NC | State-registered investment adviser | Under $25 million | 8 | % of assets, Hourly, Fixed fee |
| [Veratis Advisors, Inc.](https://advisorcensus.com/firm/veratis-advisors-inc-cary-nc-117892) ([md](https://advisorcensus.com/firm/veratis-advisors-inc-cary-nc-117892.md)) | 117892 | Cary, NC | SEC-registered investment adviser | Over $5 billion | 24 | % of assets, Hourly, Fixed fee |
| [Wake Wealth Management Co.](https://advisorcensus.com/firm/wake-wealth-management-co-raleigh-nc-159170) ([md](https://advisorcensus.com/firm/wake-wealth-management-co-raleigh-nc-159170.md)) | 159170 | Raleigh, NC | State-registered investment adviser | Under $25 million | 15 | % of assets, Hourly, Fixed fee |
| [Wellness Financial Associates LLC](https://advisorcensus.com/firm/wellness-financial-associates-llc-cary-nc-171902) ([md](https://advisorcensus.com/firm/wellness-financial-associates-llc-cary-nc-171902.md)) | 171902 | Cary, NC | State-registered investment adviser | Not reported | 11 | % of assets, Hourly, Fixed fee |
| [White Oak Wealth Partners](https://advisorcensus.com/firm/white-oak-wealth-partners-raleigh-nc-317324) ([md](https://advisorcensus.com/firm/white-oak-wealth-partners-raleigh-nc-317324.md)) | 317324 | Raleigh, NC | SEC-registered investment adviser | $100 million to $500 million | 0 | % of assets |
| [Wyatt Financial L.L.C.](https://advisorcensus.com/firm/wyatt-financial-l-l-c-cary-nc-145809) ([md](https://advisorcensus.com/firm/wyatt-financial-l-l-c-cary-nc-145809.md)) | 145809 | Cary, NC | State-registered investment adviser | $25 million to $100 million | 17 | % of assets, Fixed fee |
| [Yarborough Asset Management Strategies](https://advisorcensus.com/firm/yarborough-asset-management-strategies-raleigh-nc-290137) ([md](https://advisorcensus.com/firm/yarborough-asset-management-strategies-raleigh-nc-290137.md)) | 290137 | Raleigh, NC | State-registered investment adviser | Under $25 million | 8 | % of assets, Hourly, Fixed fee, Other |

- Previous page: https://advisorcensus.com/advisors/nc/raleigh/page/2.md

## Questions people ask

**How many financial advisory firms are there in Raleigh, NC?**
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.

**How many fee-only financial advisors are in Raleigh, NC?**
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.

**How many financial advisors in Raleigh, NC offer financial planning?**
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.

**Are the financial advisors in Raleigh, 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 40 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 Raleigh, NC](https://advisorcensus.com/advisors/nc/raleigh) (https://advisorcensus.com/advisors/nc/raleigh.md)
- [Fee-only financial advisors in Raleigh, NC](https://advisorcensus.com/advisors/nc/raleigh/fee-only) (https://advisorcensus.com/advisors/nc/raleigh/fee-only.md)
- [Flat-fee financial advisors in Raleigh, NC](https://advisorcensus.com/advisors/nc/raleigh/flat-fee) (https://advisorcensus.com/advisors/nc/raleigh/flat-fee.md)
- [Hourly financial advisors in Raleigh, NC](https://advisorcensus.com/advisors/nc/raleigh/hourly) (https://advisorcensus.com/advisors/nc/raleigh/hourly.md)
- [Financial advisors for faith-based investing in Raleigh, NC](https://advisorcensus.com/advisors/nc/raleigh/faith-based-investing) (https://advisorcensus.com/advisors/nc/raleigh/faith-based-investing.md)
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- [Financial advisors in Charlotte](https://advisorcensus.com/advisors/nc/charlotte) (https://advisorcensus.com/advisors/nc/charlotte.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)
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Every firm in this list as CSV: https://advisorcensus.com/advisors/nc/raleigh.csv

Cite as: AdvisorCensus. Financial advisors in Raleigh, NC: 124 firms from Form ADV filings as of October 2026.