# Uwharrie Investment Advisors, Inc.

> Uwharrie Investment Advisors, Inc. is an SEC-registered investment advisory firm in Albemarle, NC, registered since 2005, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 30, 2026.

- CRD: 117592
- Filed as: UWHARRIE INVESTMENT ADVISORS, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Albemarle, NC
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/117592
- AdvisorCensus page: https://advisorcensus.com/firm/uwharrie-investment-advisors-inc-albemarle-nc-117592

## Quick answers

**How is Uwharrie Investment Advisors, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Uwharrie Investment Advisors, Inc. reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Uwharrie Investment Advisors, Inc. located?**
Uwharrie Investment Advisors, Inc.'s principal office is in Albemarle, NC, according to its Form ADV; the April 2026 filing also lists 4 other offices (Schedule D, Section 1.F).

**Is Uwharrie Investment Advisors, Inc. registered with the SEC or a state?**
Uwharrie Investment Advisors, Inc. is an SEC-registered investment advisory firm, registered since 2005. Status as filed: Approved. CRD 117592.

**How much does Uwharrie Investment Advisors, Inc. manage?**
Uwharrie Investment Advisors, Inc. reports $337,840,640 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary).

**How have Uwharrie Investment Advisors, Inc.'s assets and staff changed since 2021?**
In the Form ADV data for Uwharrie Investment Advisors, Inc.: Regulatory assets under management: $176,656,556 in the October 2021 data and $337,840,640 in the October 2026 data, up 91%. Total employees: 15 in October 2021 and 14 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Uwharrie Investment Advisors, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (609); high net worth individuals (228); charitable organizations (27).

**Which custodians does Uwharrie Investment Advisors, Inc. use?**
Uwharrie Investment Advisors, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Pershing LLC as a custodian holding 10% or more of its separately managed account assets.

**Does Uwharrie Investment Advisors, Inc. report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/117592

**What changed in Uwharrie Investment Advisors, Inc.'s recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 15 to 12. Regulatory assets under management went from $278,247,352 to $337,840,640 (+21%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- Pershing LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $337,840,640
- Discretionary: $337,840,640
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 609 | $137,444,005 |
| High net worth individuals | 228 | $152,443,132 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 | $3,258,417 |
| Charitable organizations | 27 | $30,666,201 |
| Corporations or other businesses not listed above | 11 | $14,028,885 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Publication of periodicals or newsletters
- Educational seminars/workshops

### Firm details
- Registered since: 2005 (21 years)
- Employees: 14 total, 12 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: NC, SC, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Asheboro, NC
- Charlotte, NC
- Concord, NC
- Locust, NC

### Websites listed on Form ADV (Item 1.I)
- [uwharrie.com](https://uwharrie.com)

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $176,656,556 | 15 | August 4, 2021 |
| October 2022 | $215,658,728 | 16 | March 22, 2022 |
| October 2023 | $189,376,394 | 17 | February 22, 2023 |
| October 2024 | $224,721,607 | 17 | July 29, 2024 |
| October 2025 | $278,247,352 | 16 | April 23, 2025 |
| October 2026 | $337,840,640 | 14 | March 30, 2026 |

Regulatory assets under management: $176,656,556 in the October 2021 data and $337,840,640 in the October 2026 data, up 91%.
Total employees: 15 in October 2021 and 14 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 15 to 12.
- Regulatory assets under management went from $278,247,352 to $337,840,640 (+21%).

### November 2025
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Uwharrie Investment Advisors, Inc. (CRD 117592): Form ADV filing data as of October 2026.