Top 10 financial advisor firms in Raleigh

37 SEC-registered financial advisor firms are headquartered in Raleigh, NC, with $20.4B in combined regulatory assets under management. The largest by assets are Guardian Wealth Advisors ($2.74B), Capital Investment Advisory Services ($2.39B) and Financial Symmetry ($1.54B).

37
Financial advisor firms: $20.4B
Their combined AUM: $317M
Median firm AUM: 15,323
Clients of the top 10

The 10 largest by assets

1
Guardian Wealth Advisors
RIA
$2.74B
Regulatory AUM
2
Capital Investment Advisory Services
RIA
$2.39B
Up to 2.00% a year
3
Financial Symmetry
RIA
$1.54B
0.40% to 0.85% a year
4
Triangle Securities Wealth Management
RIA
$1.29B
0.50% to 1.00% a year
5
Founders Financial Alliance
RIA
$1.19B
Up to 2.00% a year
6
Cardinal Capital Management
RIA
$1.03B
Regulatory AUM
7
Capital Investment Counsel
RIA
$1.02B
1.25% to 1.75%
8
Cordgrass Capital Advisors
RIA
$730M
Up to 1.50%
9
Tradewinds
RIA
$659M
1.25% to 2.25% a year
10
Collegiate Capital Management
RIA
$653M
0.75% to 2.25% a year

Profiles of the top 10

No. 1 · RIA

Guardian Wealth Advisors

Guardian Wealth Advisors is an investment adviser based in Raleigh, NC, registered with the SEC since 2020. It provides financial planning and investment management. Its clients include high-net-worth individuals, pension and profit-sharing plans, and individual clients. Its regulatory assets under management total $2.74 billion, as filed on 26 March 2026.

Regulatory AUM: $2.74B
Clients: 2,262
Advisory staff: 30
Custodians: Charles Schwab
Headquarters: 2413 Blue Ridge RD, Suite 201, Raleigh, NC 27607
Phone: 919-249-1810
Website: guardian-wa.com

No. 2 · RIA

Capital Investment Advisory Services

Capital Investment Advisory Services is an investment adviser based in Raleigh, NC, registered with the SEC since 2009. It provides financial planning and investment management. Its clients include high-net-worth individuals, individual clients, and corporations and other businesses. Its regulatory assets under management total $2.39 billion, as filed on 12 March 2026.

Capital Investment Advisory Services charges up to 2.00% a year for its Portfolio Management and Advisory Services.

Regulatory AUM: $2.39B
Clients: 6,276
Advisory staff: 87
Fee schedule: Up to 2.00% a year
Custodians: Charles Schwab, Pershing
Headquarters: 100 E. Six Forks Road, Suite 200, Raleigh, NC 27609
Phone: 919-831-2370
Website: capital-invest.com

No. 3 · RIA

Financial Symmetry

Financial Symmetry is an investment adviser based in Raleigh, NC, registered with the SEC since 2004. It provides financial planning and investment management. Its clients include high-net-worth individuals, individual clients and charitable organizations. Its regulatory assets under management total $1.54 billion, as filed on 27 May 2026.

Financial Symmetry charges 0.40%–0.85% a year for its Wealth Management.

Regulatory AUM: $1.54B
Clients: 873
Advisory staff: 15
Founded: 2001
Fee schedule: 0.40% to 0.85% a year
Custodians: Pershing
Headquarters: 5438 Wade Park BLVD, Suite 310, Raleigh, NC 27607
Phone: 919-851-8200
Website: financialsymmetry.com

No. 4 · RIA

Triangle Securities Wealth Management

Triangle Securities Wealth Management is an investment adviser based in Raleigh, NC, registered with the SEC since 2008. It provides investment management. Its clients include high-net-worth individuals, individual clients and charitable organizations. Its regulatory assets under management total $1.29 billion, as filed on 26 February 2026.

Triangle Securities Wealth Management charges 0.50%–1.00% a year for its Annualized Program Fee.

Regulatory AUM: $1.29B
Clients: 525
Advisory staff: 9
Founded: 2000
Fee schedule: 0.50% to 1.00% a year
Custodians: Charles Schwab
Headquarters: 1301 Annapolis Drive, Raleigh, NC 27608
Phone: 919-838-3221
Website: trianglewealth.com

No. 5 · RIA

Founders Financial Alliance

Founders Financial Alliance is an investment adviser based in Raleigh, NC, registered with the SEC since 2016. It provides financial planning and investment management. Its clients include high-net-worth individuals, individual clients, and pension and profit-sharing plans. Its regulatory assets under management total $1.19 billion, as filed on 10 March 2026.

Founders Financial Alliance charges up to 2.00% a year for its Asset Management.

Regulatory AUM: $1.19B
Clients: 2,412
Advisory staff: 31
Fee schedule: Up to 2.00% a year
Custodians: LPL Financial, Raymond James, Charles Schwab
Headquarters: 9212 Falls of Neuse RD., Suite 221, Raleigh, NC 27615
Phone: 855-860-5940

No. 6 · RIA

Cardinal Capital Management

Cardinal Capital Management is an investment adviser based in Raleigh, NC, registered with the SEC since 1992. It provides financial planning and investment management. Its clients include high-net-worth individuals, corporations and other businesses, and individual clients. Its regulatory assets under management total $1.03 billion, as filed on 16 February 2026.

Regulatory AUM: $1.03B
Clients: 305
Advisory staff: 3
Custodians: Charles Schwab
Headquarters: 2626 Glenwood Avenue, Suite 380, Raleigh, NC 27608
Phone: 919-532-7500
Website: cardinalcapitalmanagement.com

No. 7 · RIA

Capital Investment Counsel

Capital Investment Counsel is an investment adviser based in Raleigh, NC, registered with the SEC since 1984. It provides financial planning and investment management. Its clients include high-net-worth individuals, individual clients, and pension and profit-sharing plans. Its regulatory assets under management total $1.02 billion, as filed on 29 April 2026.

Capital Investment Counsel charges 1.25%–1.75% for its Advisory Services. The brochure does not state whether the rate is annual.

Regulatory AUM: $1.02B
Clients: 1,271
Advisory staff: 4
Founded: 1984
Fee schedule: 1.25% to 1.75%
Minimum account: $100,000
Custodians: Pershing
Headquarters: 100 E. Six Forks Road, Ste. 200, Raleigh, NC 27609
Phone: 919-831-2370
Website: capital-invest.com

No. 8 · RIA

Cordgrass Capital Advisors

Cordgrass Capital Advisors is an investment adviser based in Raleigh, NC, registered with the SEC since 2021. It provides financial planning and investment management. Its clients include high-net-worth individuals, charitable organizations and individual clients. Its regulatory assets under management total $730 million, as filed on 17 April 2026.

Cordgrass Capital Advisors charges up to 1.50% for its Portfolio Management. The brochure does not state whether the rate is annual.

Regulatory AUM: $730M
Clients: 448
Advisory staff: 4
Fee schedule: Up to 1.50%
Custodians: Charles Schwab
Headquarters: 3101 Glenwood Avenue, Suite 102, Raleigh, NC 27612
Phone: 919-800-0705

No. 9 · RIA

Tradewinds

Tradewinds is an investment adviser based in Raleigh, NC, registered with the SEC since 2021. It provides financial planning and investment management. Its clients include high-net-worth individuals, individual clients, and pension and profit-sharing plans. Its regulatory assets under management total $659 million, as filed on 13 March 2026.

Tradewinds charges 1.25%–2.25% a year for its Investment Management Fee.

Regulatory AUM: $659M
Clients: 505
Advisory staff: 9
Founded: 2021
Fee schedule: 1.25% to 2.25% a year
Custodians: Wells Fargo Clearing Services
Headquarters: 4600 Marriott DR., Suite 200, Raleigh, NC 27612
Phone: 984-257-9091
Website: tradewinds.global

No. 10 · RIA

Collegiate Capital Management

Collegiate Capital Management is an investment adviser based in Raleigh, NC, registered with the SEC since 2005. It provides financial planning and investment management. Its clients include high-net-worth individuals, individual clients, and corporations and other businesses. Its regulatory assets under management total $653 million, as filed on 12 March 2026.

Collegiate Capital Management charges 0.75%–2.25% a year for its Customized Investment Advice.

Regulatory AUM: $653M
Clients: 446
Advisory staff: 4
Founded: 1994
Fee schedule: 0.75% to 2.25% a year
Custodians: Charles Schwab, Tiaa-Cref Individual & Institutional Services
Headquarters: 214 New Bern Place, Raleigh, NC 27601
Phone: 919-838-0101
Website: collegiatecapital.com

Questions about financial advisors in Raleigh

How many financial advisor firms are headquartered in Raleigh?

37 SEC-registered financial advisor firms report their principal office in Raleigh, NC, managing $20.4B in regulatory assets between them. The other 17 advisers headquartered in the city are broker-dealers, other kinds of wealth firm, or fund and institutional managers.

Source: Form ADV Part 1A, Items 1.F, 5.D and 5.F

What is the largest financial advisor firm in Raleigh?

Guardian Wealth Advisors, with $2.74B in regulatory assets under management on its latest Form ADV. The next largest are Capital Investment Advisory Services ($2.39B) and Financial Symmetry ($1.54B).

Source: Form ADV Part 1A, Item 5.F

How large is a typical financial advisor firm in Raleigh?

The median firm manages $317M in regulatory assets. That is the midpoint of the 37 firms headquartered in Raleigh.

Source: Form ADV Part 1A, Item 5.F

How much do financial advisors in Raleigh charge?

Of the 10 largest firms, 8 publish an asset-based fee schedule for their main service in their brochure. The highest rate in those schedules runs from 0.85% to 2.25% of assets, depending on the firm; each firm's fee is in its profile above.

Source: Form ADV Part 2A brochures, Item 5

How can I check a financial advisor's record in Raleigh?

Search the firm or the person on the SEC's Investment Adviser Public Disclosure site, adviserinfo.sec.gov, which shows registrations, Form ADV filings and any disclosures. Each firm profile in this directory links its SEC record.

Source: SEC Investment Adviser Public Disclosure

How is this list ordered?

By regulatory assets under management as filed on Form ADV, largest first. A firm is included when its principal office is in the city and most of its client assets belong to individuals and its type is RIA, which leaves out broker-dealers, wirehouses, RIA networks, digital advice, bank, insurance and family-office firms. A firm with only a branch office here is listed in its own headquarters city.

Source: Niva directory methodology

Raleigh has 37 financial advisor firms; see every adviser in the city →

The 10 largest by assets

Profiles of the top 10

Questions about financial advisors in Raleigh

Top financial advisor firms in other North Carolina cities