Top 10 financial advisors in Raleigh, NC
We've curated a list of the best financial advisors in Raleigh, take a look at it below.
| # | Company | Assets under management | Number of advisors | |
|---|---|---|---|---|
| 1 | Assets under management $115,942,729,824 Number of advisors 1338 advisors | |||
| 2 | Assets under management $1,737,746,677 Number of advisors 116 advisors | |||
| 3 | Assets under management $1,403,488,084 Number of advisors 23 advisors | |||
| 4 | Assets under management $1,168,212,357 Number of advisors 39 advisors | |||
| 5 | Assets under management $579,642,486 Number of advisors 6 advisors | |||
| 6 | Assets under management $545,879,221 Number of advisors 5 advisors | |||
| 7 | Assets under management $429,458,004 Number of advisors 27 advisors | |||
| 8 | Assets under management $404,211,832 Number of advisors 14 advisors | |||
| 9 | Assets under management $307,133,556 Number of advisors 10 advisors | |||
| 10 | Assets under management $301,519,990 Number of advisors 6 advisors |
Commitment
We've gathered and simplified publicly available information about financial advisors across the U.S. to help you make informed decisions. While we don't directly connect you with these listed advisors, we do offer a simple, reliable service to match you with trusted, pre-vetted advisors registered on our platform — saving you time and effort.
Get matched with an advisorMethodology
To find the top financial advisors in Raleigh, we first identified all firms registered with the SEC in the area. Rather than ranking firms purely by size, we excluded firms that don’t offer financial planning or portfolio management services, ensuring the list is relevant to individuals. We then ranked the remaining firms by assets under management (AUM) and the services they provide.
Comparing a company's EPS to industry averages and historical data provides a more comprehensive perspective. Still, other factors must also be considered, including the company’s growth prospects, industry dynamics, and the competitive landscape.
Captrust
CAPTRUST Financial Advisors, also known as CapFinancial Partners, LLC, is an investment adviser registered under the Investment Advisers Act of 1940. The firm offers various advisory services, including portfolio management on a non-wrap fee basis, business, financial, and estate planning, institutional and retirement plan advisory services, and participant advisory services. Clients can choose between portfolio management account (PMA) services or separately managed account (SMA) services. The firm provides investment consulting services not related to managed account services. For PMA and WAS programs, clients can have discretionary or non-discretionary accounts. The Portfolio Manager may be the Investment Committee or the Client's CAPTRUST Financial Advisor. The firm uses a risk-based and outcome-based approach to asset allocation and offers services such as establishing investment strategies, determining asset allocation strategies, and performing periodic rebalancing. The minimum initial investment for PMA accounts is $50,000, while for SMA accounts, it is typically $100,000 or more. Fees for the Wrap Fee Programs are tiered based on assets under management, with maximum annual fees ranging from 1.25% to 2.25%. The firm's fee structure is negotiable under certain circumstances. CAPTRUST provides detailed information on its investment strategies, methods of analysis, and risk factors associated with investing in securities. The firm's Code of Ethics addresses fiduciary obligations, personal securities trading procedures, and restrictions on insider trading. Clients are provided with regular account reviews and performance reports, and the firm has a robust privacy policy and business continuity plan in place. Additional information, including details on client referrals and compensation, can be found on the firm's website.
$115,942,729,824 under management
1338 advisors
Fee structure
A percentage of assets under your management
Hourly charges
Fixed fees
Performance-based fees
Services offered
Financial Planning Services
Portfolio Management For Individuals And/or Small Businesses
Portfolio Management For Pooled Investment Vehicles
Portfolio Management For Businesses (other Than Small Businesses) Or Institutional Clients (other Than Registered Investment Companies And Other Pooled Investment Vehicles And)
Pension Consulting Services
Selection Of Other Advisers
Publication Of Periodicals Or Newsletters
Capital Investment Advisory Services, LLC
Capital Investment Advisory Services, LLC is a registered investment adviser based in Raleigh, North Carolina, founded in 2008. The firm specializes in providing portfolio management and supervisory services. They offer various types of advisory services, including separately managed accounts, third-party asset management programs, sub-advised accounts, and financial planning services. Clients work with Investment Adviser Representatives (IARs) to determine key factors such as investment objectives, risk tolerance, and time horizon. CIAS manages assets based on the client's profile and regularly reviews and updates model portfolios. The firm operates as a fiduciary, acting in the best interests of clients. There is no minimum account size required, but accounts may be subject to a minimum annual fee of $500, which is negotiable. CIAS charges fees based on a percentage of assets under management, typically around 2% annually. The firm does not participate in soft dollar practices and generally recommends the use of affiliated broker/dealers for trading services. Clients receive statements at least quarterly detailing holdings and activity, and CIAS does not custody client funds and securities. The firm has no disciplinary information, bankruptcy proceedings, or financial commitments that impair its ability to meet client commitments.
$1,737,746,677 under management
116 advisors
Fee structure
A percentage of assets under your management
Hourly charges
Fixed fees
Services offered
Financial Planning Services
Portfolio Management For Individuals And/or Small Businesses
Portfolio Management For Businesses (other Than Small Businesses) Or Institutional Clients (other Than Registered Investment Companies And Other Pooled Investment Vehicles And)
Pension Consulting Services
Selection Of Other Advisers
Curi Capital
Curi Capital is a financial advisory firm based in Raleigh, North Carolina. It currently has approximately $1,403,488,084 of assets under management and employs about 23 people. Curi Capital uses a fee structure of a percentage of assets under your management and fixed fees.
$1,403,488,084 under management
23 advisors
Fee structure
A percentage of assets under your management
Fixed fees
Services offered
Financial Planning Services
Portfolio Management For Individuals And/or Small Businesses
Portfolio Management For Pooled Investment Vehicles
Portfolio Management For Businesses (other Than Small Businesses) Or Institutional Clients (other Than Registered Investment Companies And Other Pooled Investment Vehicles And)
Pension Consulting Services
Selection Of Other Advisers
Guardian Wealth Advisors, LLC
Guardian Wealth Advisors, LLC (GWA) is a financial advisory firm founded in 2019 and based in Raleigh, NC. The firm is owned by Christian Keedy, Michael Hensley, Todd Misenheimer, and other partners. GWA specializes in offering Investment Advisory Services, Financial Planning Services, and Retirement Plan Consulting Services to individuals, high net worth individuals, retirement plans, charitable organizations, trusts, and corporations. The firm provides discretionary and non-discretionary investment advisory services, developing financial profiles and investment plans tailored to each client's goals and risk tolerance. GWA may manage client portfolios on a discretionary basis, with the authority to direct the portfolio without prior consultation, or on a non-discretionary basis, where clients are contacted before any trade execution. The firm may recommend third-party investment advisers or model portfolio providers to manage client portfolios, with fees calculated separately from GWA's Investment Advisory Service Fees. GWA also offers Financial Planning Services covering various financial aspects, including cash flow planning, retirement planning, and asset management. The firm charges fees based on a percentage of assets under management, typically ranging from 0.30% to 1.5%, with no minimum account size required. GWA discloses its brokerage practices, custody arrangements, and investment discretion policies, ensuring transparency and acting in the best interests of its clients.
$1,168,212,357 under management
39 advisors
Fee structure
A percentage of assets under your management
Hourly charges
Fixed fees
Services offered
Financial Planning Services
Portfolio Management For Individuals And/or Small Businesses
Pension Consulting Services
Selection Of Other Advisers
Consulting
Cardinal Capital Management Inc
Cardinal Capital Management, Inc. is a registered investment adviser firm established in January 1992, based in Raleigh, North Carolina. The firm specializes in providing investment advisory services to individuals, high net worth individuals, trusts, estates, charitable organizations, insurance companies, and corporations. Services offered include discretionary and non-discretionary investment advisory services on a fee-only basis. The annual investment advisory fee is negotiable and based on a percentage of assets under management, with a minimum annual fee of $2,500. Cardinal Capital does not offer financial planning services but may provide limited consultation on investment-related matters upon client request. The firm does not engage in wrap-fee programs and had over $579 million in assets under management on a discretionary basis as of December 31, 2022. Clients have the option to grant Cardinal Capital investment discretion, allowing the firm to buy, sell, or otherwise effect investment transactions on their behalf. The firm does not accept performance-based fees and acts as a fiduciary when advising clients on retirement rollovers. Cardinal Capital's investment strategies include long-term and short-term purchases, with a focus on fundamental analysis and asset allocation models. The firm's fee structure, custody arrangements, and brokerage practices are transparent, with a commitment to best execution and client interests. Clients receive regular account reviews and reporting to ensure alignment with their investment objectives. Cardinal Capital does not have any disciplinary actions on record and maintains a Code of Ethics to prevent the misuse of material non-public information. The firm does not receive compensation for client referrals and does not engage in directed brokerage arrangements. Clients are encouraged to review account statements and reports provided by the custodian in conjunction with those from Cardinal Capital. The firm also handles proxy voting for client securities and offers assistance with class action lawsuits through Broadridge Financial Solutions, Inc. Cardinal Capital's financial condition is stable, with no known impairments to meeting its contractual commitments.
$579,642,486 under management
6 advisors
Fee structure
A percentage of assets under your management
Services offered
Financial Planning Services
Portfolio Management For Individuals And/or Small Businesses
Shah Capital Management
Shah Capital Management, Inc. is an SEC-registered investment adviser based in Raleigh, North Carolina, established in January 2005. The firm specializes in global investment management with a contrarian philosophy focusing on turnarounds and special situations. They offer investment management services through a private limited partnership and a Separately Managed Wrap Fee Program. The Wrap Fee Program is currently closed to new clients, while the private limited partnership is closed to new investors. The firm primarily allocates clients' assets among exchange-listed securities on a discretionary basis, with a long-only price-conscious portfolio management strategy. The firm recommends the use of Charles Schwab & Co., Inc. for brokerage and clearing services. For the Separately Managed Wrap Fee Program, the annual fee is 1.40%, charged quarterly in advance. The firm also manages the Shah Capital Opportunity Fund LP, a Delaware limited partnership focusing on global equity securities. The Fund employs trading strategies not used in the Program accounts, including short selling, leverage, and options trading. The Fund has a high-water mark policy and a minimum initial investment of $1 million for individuals and $5 million for institutional investors. Shah Capital does not have any reportable disciplinary events and does not engage in principal transactions or cross trades. The firm has custody of client funds due to fee deductions and standing letters of authorization. Shah Capital has adopted a Code of Ethics, Proxy Voting Policies and Procedures, and controls to address conflicts of interest. The firm reviews client accounts regularly and provides reports to clients. Shah Capital does not have soft dollar arrangements and does not receive compensation for client referrals. The firm discloses potential conflicts of interest related to its investments in portfolio companies. Shah Capital has no adverse financial circumstances to report and has not been subject to bankruptcy in the past ten years.
$545,879,221 under management
5 advisors
Fee structure
A percentage of assets under your management
Performance-based fees
Services offered
Portfolio Management For Individuals And/or Small Businesses
Portfolio Management For Pooled Investment Vehicles
Financial Symmetry Inc.
Financial Symmetry Inc. is a registered investment adviser based in Raleigh, NC, established in 2001. The firm specializes in providing objective financial advice and operates under the fiduciary principle, prioritizing clients' best interests. With thirteen partners, FSI manages approximately $807,615,000 in financial assets for 705 family groups, offering services such as Financial Planning and Wealth Management. The Wealth Management service includes financial planning, tax planning, estate planning, and disciplined investment management. Fees for Wealth Management start at 0.85% of portfolio assets with a minimum annual fee of $3,600. FSI also offers Small Business 401(k) Advice as a Limited-Scope 3(21) Fiduciary Investment Advisor. The firm's investment committee meets monthly to discuss long-term investment outlook and employs a strategy focusing on broad and specific themes within asset classes. FSI primarily recommends mutual funds and ETFs, particularly those from Dimensional Fund Advisors. The firm does not accept performance-based fees and has no disciplinary events to disclose. Clients have the option for discretionary or non-discretionary portfolio management, with most portfolios managed on a discretionary basis. FSI does not vote on client securities proxies and does not solicit prepayment of fees.
$429,458,004 under management
27 advisors
Fee structure
A percentage of assets under your management
Hourly charges
Fixed fees
Services offered
Financial Planning Services
Portfolio Management For Individuals And/or Small Businesses
Pension Consulting Services
Cook Wealth, LLC
Cook Wealth, LLC is a registered investment advisor established in 2004 and became a registered investment advisor in 2014. The firm specializes in providing investment advisory services to individuals, high net worth individuals, and retirement plans. Cook Wealth acts as a fiduciary to its clients, upholding a duty of loyalty, fairness, and good faith. The firm offers customized investment advisory solutions, including discretionary investment management and financial planning services. Investment strategies primarily focus on long-term goals, utilizing mutual funds, exchange-traded funds (ETFs), individual stocks, and bonds. The firm integrates tax management into its investment process and may recommend reallocating investments to diversify portfolios. Cook Wealth may also recommend cash positions as a hedge against market movements. The firm does not charge performance-based fees and does not manage proprietary investment funds. Clients have discretion over the selection and amount of securities bought or sold in their accounts. Cook Wealth does not accept proxy-voting responsibility for clients. The firm's fee structure includes annual fees of up to 1.50% for investment management services and financial planning services. Cook Wealth participates in Schwab's institutional customer program, receiving benefits that may indirectly influence the recommendation of Schwab for custody services. The firm maintains a Privacy Policy to safeguard clients' personal information and shares information with non-affiliated third parties for servicing clients' accounts. Clients have the right to limit the sharing of their personal information.
$404,211,832 under management
14 advisors
Fee structure
A percentage of assets under your management
Hourly charges
Fixed fees
Services offered
Financial Planning Services
Portfolio Management For Individuals And/or Small Businesses
Pension Consulting Services
Selection Of Other Advisers
Townsend Asset Management Corp.
Townsend Asset Management Corp., established in 1982 by Gerald and Katrina Townsend, is an independent investment advisor registered with the SEC. Their services include investment management, financial planning, tax preparation, consulting, and wealth management. The firm's investment process involves goal setting, asset review, economic considerations, investment policy, asset allocation, security selection, and ongoing management. They offer discretionary management, allowing them to make investment decisions without specific client consent. The firm manages over $445 million in assets, with fees ranging from 0.25% to 1.35% annually based on the portfolio value. Clients receive regular reports and can impose restrictions on investments. Townsend does not charge performance-based fees and serves a range of clients, including individuals, high net worth individuals, trusts, and corporations, without a minimum account size requirement. The firm uses fundamental and technical analysis, asset allocation, diversification, and long-term investment strategies. Clients are informed of potential risks associated with investing. Townsend does not receive commissions or compensation from third parties, ensuring a fiduciary duty to clients. The firm does not participate in wrap fee programs and maintains a Code of Ethics to uphold integrity and client interests. Clients receive regular account reviews and reports, and Townsend votes on client securities if authorized. The firm does not have custody of client assets but ensures clients receive statements directly from the custodian.
$307,133,556 under management
10 advisors
Fee structure
A percentage of assets under your management
Hourly charges
Fixed fees
Services offered
Financial Planning Services
Portfolio Management For Individuals And/or Small Businesses
Educational Seminars/workshops
Physicians Financial Services, Inc.
Physicians Financial Services, Inc. is a registered investment adviser established in February 1987 by Con T. McDonald, offering Individualized Money Management Services for various client types, including individuals, high net worth individuals, pension and profit sharing plans, corporations, charitable organizations, and trusts. The firm specializes in wealth analysis, financial planning, and money management services. Investment strategies focus on a contrarian/value approach, utilizing stocks, bonds, mutual funds, and exchange-traded funds. Clients have the option to choose internal or external money management services. Internal services are based on a percentage of assets under management, while external services involve third-party managers with transparent fee structures. The firm emphasizes a long-term investment approach, avoiding Initial Public Offerings (IPOs) due to associated risks. Fees for wealth analysis and planning services are either fixed or hourly, while money management fees are based on a percentage of assets under management. Physicians Financial Services, Inc. does not participate in wrap fee programs. The firm operates on a discretionary basis, managing accounts with a Limited Power of Attorney. Clients receive quarterly account statements from the custodian. The firm does not vote proxies for clients. The brochure also includes information about the firm's principals, educational backgrounds, business experiences, disciplinary history, and additional compensation details. Clients are encouraged to review the full brochure for comprehensive information.
$301,519,990 under management
6 advisors
Fee structure
A percentage of assets under your management
Hourly charges
Fixed fees
Services offered
Financial Planning Services
Portfolio Management For Individuals And/or Small Businesses
Selection Of Other Advisers
Commitment
We've gathered and simplified publicly available information about financial advisors across the U.S. to help you make informed decisions. While we don't directly connect you with these listed advisors, we do offer a simple, reliable service to match you with trusted, pre-vetted advisors registered on our platform — saving you time and effort.
Get matched with an advisorMethodology
To find the top financial advisors in Raleigh, we first identified all firms registered with the SEC in the area. Rather than ranking firms purely by size, we excluded firms that don’t offer financial planning or portfolio management services, ensuring the list is relevant to individuals. We then ranked the remaining firms by assets under management (AUM) and the services they provide.
It's quick and easy to find the right financial advisor for you
Answer a few questions about your needs.
Match with an advisor Connect with your perfectly matched financial advisor.
Your first meeting is free.