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Personalized advice for portfolio size
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North Carolina is home to a thriving financial industry, with a growing number of financial advisors and advisory firms serving the needs of the state's diverse population. With a population of over 10 million people and a relatively low cost of living compared to other states, North Carolina is an attractive place to live and work. For individuals looking to manage their personal finances, working with a vetted financial advisor can be a smart choice. Financial advisors provide personalized advice and guidance on a range of financial matters, including investment strategies, retirement planning, wealth management, estate planning, and more. WiserAdvisor can help individuals in North Carolina connect with these qualified and trustworthy financial advisors.
North Carolina
has
10
WiserAdvisor vetted Financial Planners and Advisors on the online list below for you to
choose from. These financial advisors in
North Carolina
have an average of
31
years of experience.
NOTE: The list of vetted financial
advisors in
North Carolina
mentioned below does not include all the advisors in our network due
to their compliance listing restrictions. More vetted advisors may
be available when you use our free match service
to compare financial advisors near you in
North Carolina.
| Financial Advisor | Experience | AUM | Minimum Assets | Fee Structure |
|---|---|---|---|---|
|
Coach Pete D'Arruda
RFC®, RICP®, MRFC CAPITAL FINANCIAL ADVISORY GROUP, LLC 1500 Town Side Drive, Suite 200, Apex, NC 27502 |
31 Years | Not Specified | Not Specified | Fee-Based |
|
Tom Morris
CASL®, CFP®, RICP®, RMA®, MBA, CLU®, ChFC® NORTHWESTERN MUTUAL -TOM MORRIS 240 Leigh Farm Rd, Ste 400, Durham, NC 27707 |
Not Disclosed | Not Specified | $500,000 | Fee-Based |
|
Tony Montanari
CIMA® ACM WEALTH MANAGEMENT 38 Orchard Street, Asheville, NC 28801 1927 S. Tryon Street, Charlotte, NC 28203 |
23 Years | $130,000,000 | $500,000 | Fee-Based |
|
Kenneth Nelson
AIFA®, CRPS®, CRPC®, AIF® NELSON WEALTH ADVISORS 10604 Bent Twig Drive, Raleigh, NC 27613 |
35 Years | Not Specified | $0 | Fee-Based |
| 11 Years | $3,000,000 | $500,000 | Fee-Based | |
| 51 Years | $143,000,000 | $250,000 | Fee-Based | |
|
Strategic Investment Partners
Accredited Investment Advisor 1508 Military Cutoff Rd., Suite 206, Wilmington, NC 28403 |
50 Years | Not Specified | Not Specified | Fee-Based |
| Not Disclosed | $10,000,000,000 | Not Specified | Fee-Based | |
| 27 Years | $510,000,000 | $500,000 | Fee-Only |
Qualifications
CRD# 2756672
Firm CRD# 144374
Series 65
Compensation/Fee Fee-Based, Hourly, Commissions, Flat Fee, Based on Assets
Office Location
1500 Town Side Drive, Suite 200,
Apex,
NC
27502
Phone Number
919-657-4201
Known as "Coach Pete" on the radio, Mr. D'Arruda has over 31 years in the financial arena with NO complaints. Coach Pete is also a SMARTVESTOR PRO with Dave Ramsey. He has authored 6 books and co-authored 2. Two of his books have reached the best-sellers list on Amazon. The most noteworthy book, Successonomics, is one that Coach Pete co-authored with Steve Forbes. But, by far, his favorite book just happens to be his most recent, 7 Baby Steps to a ridiculously Reliable Retirement Income. His newest book, AMERICA ASKS COACH is a great read as well. He has just been named to the prestigious Forbes Leadership Council and will be submitting at least 6 articles a year to Forbes. He is a graduate of The University of North Carolina. He is a proud father of daughter, Caroline, age 17 with his wife, Kim. A+ rating with the BBB (Better Business Bureau) and the National Ethics Association.
Known as "Coach Pete" to his listeners and clients, Coach Pete and his firm are a committed group of professional fiduciaries dedicated to providing superior investment advice to their high networth clients. Coach Pete is also a SMARTVESTOR PRO with Dave Ramsey. A fiduciary is any person or institution that has the power to act on behalf of another in situations that require great trust, honesty, and loyalty. His radio show, "The Financial Safari" first aired in 2005 and can be heard weekly on more than 50 stations nationwide. Other Shows founded and hosted by Coach Pete are AMERICA'S 401K SHOW, ROCK ON RETIREMENT, and A+ RETIREMENT. All these shows are heard weekly throughout North Carolina and much of the nation. Also known as the King of Income Planning, Coach Pete's approach to systematic, lifetime income planning is followed by many who wish to reduce retirement worries. The firm provides personalized investment and income strategies as well as tax and estate evaluation for all sizes of portfolios and estates. Call today and see if this is the family atmosphere you've always wanted.
Advisory Services Provided:
Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management, Tax Advice and Services, Estate Planning & Trusts, Insurance Products & Annuities
Qualifications
CRD# 5052940
Firm CRD# 2881
Series 7
Compensation/Fee Fee-Based, Commissions, Flat Fee, Based on Assets
Office Location
240 Leigh Farm Rd,
Ste 400,
Durham,
NC
27707
Phone Number
919-401-0331
I live in Durham, North Carolina, in the heart of the Research Triangle. I have a wonderful wife of 37 years, Lynn, and a daughter and son. My favorite activities involve spending time with friends and family. I love to ski, play golf, camp, and I walk with my father most every day. Service has always been a part of my family history. My parents were physicians, my grandparents missionaries in China and small business owners. My other relatives are college professors, business owners, estate attorneys, missionaries and foundation executives, and my two grown children are both educators. Most of my family went to Wake Forest University, though my loyalty lies with UNC and Duke. I earned an undergraduate degree with focus on Economics, Business, and Psychology from UNC in Chapel Hill, NC. Not realizing that would be a perfect background for financial planning, I kept reinventing myself as an executive to create value in 14 high-growth startups. In my spare time while running the IT group for a highly profitable 24/7/365 manufacturing facility (part of a Fortune 20 company), I earned a Duke MBA. In 2005 I decided to start a financial planning practice, garnering my CERTIFIED FINANCIAL PLANNER™ professional designation three years later. Since then I've accumulated another 7 planning designations, and I still attend upwards of 15 conferences and industry events a year: I believe it's my obligation to clients to keep on top of current research, changes in policy, and thought leadership so I can serve them better and get them to the best possible outcomes. I specialize in financial independence, life, and legacy planning for clients in or near retirement, as well as business owners and executives.
You have decisions in your financial picture, you're the CEO of your financial life. Your job is to take all these ideas and decisions and make sure there's no gaps or overlaps. You have an asset management, risk management, and tax management divisions in your business management. One question: when you think about your whole financial picture, when was the last time someone besides you saw the whole thing in one place? Our team is going to do a deep dive on the whole picture and report back to you about what you're doing that's really well-aligned, and typically find a few areas to talk about. And more importantly, there are going to be some strategy things that you didn't know you didn't know. At the end of the day, financial planning is not just about the numbers -- how much you have and how much you need -- but about why the things you want are important to you. We go into much, much deeper planning than the math alone would dictate because we want to help people live focused on the joy in their lives. It's about the finances supporting your life, not your life supporting the finances.
Advisory Services Provided:
Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management, Insurance Products & Annuities
Qualifications
CRD# 3089483
Firm CRD# 10740
Series 7, 31, 63, 65
Compensation/Fee Fee-Based, Commissions, Flat Fee, Based on Assets
Office Location
38 Orchard Street,
Asheville,
NC
28801
Phone Number
877-707-5429
Office Location
1927 S. Tryon Street,
Suite 205,
Charlotte,NC 28203
Phone Number
877-707-5429
Tony is the founder of ACM Wealth Management and Vice President of Business Development for Prospera Financial Services, a Five-time Independent Broker Dealer of the year by Investment Advisor Magazine. Tony is a Registered Investment Advisor and currently holds Series 7, 63, 65 and 31 licenses as well as life, health and long-term care insurance licenses. Additionally, he has held the Accredited Asset Management Specialist (AAMS®) designation from the College of Financial Planning since 2003 and is a Certified Investment Management Analyst (CIMAAAMS®) professional, a designation that is earned in conjunction with the Wharton School of Business and the Investment Management Consultants Association (IMCA). Tony has been named a Five Star Wealth Manager by Charlotte Magazine in 2016, 2015, 2014, 2013, 2012, 2011 & 2010 for Best in Client Satisfaction. He has also been interviewed and quoted by local TV and print as well as national publications like The Wall Street Journal, FOX Business, Dow Jones News, Thomson Reuters, Registered Rep Magazine and FUNDfire. Tony is a member of the UNC Rams Club and is a life member of the UNC Alumni Association. He is an active member of Verdict Ridge Country Club, the Investment Management Consultants Association and the Financial Services Institute. Tony is also a board member of Sally's YMCA and East Lincoln Betterment Association. He resides in the Lake Norman area with his wife Lesley, and their three children, Evan, Logan and Emma.
As a fee-based independent advisor, ACM Wealth Management creates unbiased, customized investment strategies to help build, protect and transfer client's wealth. We take a comprehensive and customized approach to your financial situation. Understanding what is most important to you, we then develop a clear long term plan that considers your needs, your goals, and your priorities. After the initial plan is developed we take an active role in your pursuit of these goals.
Advisory Services Provided:
Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Investment Advice & Management
Qualifications
CRD# 1780923
Firm CRD# 30613
Series 7, 9, 10, 24, 63, 65
Compensation/Fee Fee-Based, Hourly, Commissions, Flat Fee, Based on Assets
Office Location
10604 Bent Twig Drive,
Raleigh,
NC
27613
Phone Number
919-845-3339
Ken Nelson started in the investment industry in Manhattan immediately after the crash of 1987. He earned an Engineering degree from Tufts University and has very strong quantitative skills as evidenced by his perfect Math SAT score, and State Chess Championship. He became a branch manager of a major brokerage firm at age 26, one of the youngest in his firms history. Ken has provided economic commentary on TV and radio since 1990. He can be heard in the Triangle on 680AM. Ken earned his MBA (3.9 GPA) from Duke University in 2001. At graduation, Ken was asked by his Professors to return and guest lecture. Ken has guest lectured at Duke in the MBA program and Olli Program. Prior to the Covid pandemic in 2020, Ken taught a class on "The History of Money and Financial Markets" in the Olli Program. He is in the process of turning his course into a book. Ken has utilized Duke, UNC,and NC State Phd candidates, Masters candidates and undergraduates as interns since 1991. They help Ken with his academic research in the financial markets. Ken and his fiance' have 10 children and 6 grandchildren. Ken coached boys and girls soccer at the recreational, Challenge and Classic level periodically from 1992 - 2012 (mostly with CASL). Ken loves soccer, chess, skiing, history, and investments. While Ken has 35 years in the industry, he hopes to work 35 more. His investment practice is a family affair. His fiance' and son also work in the investment practice.
We are a committed group of professionals dedicated to providing superior investment advice to our corporate and high net worth clients. We average over 30 years of experience in the financial industry. We strive to provide the best, most professional and personalized service possible. We act honestly, with pride and integrity, and always in the best interest of our clients. We earn our clients trust and respect. We believe our knowledge, combined with the exceptional service we provide, ensure our clients are proud to recommend us to their family members, colleagues and friends. Also located at 9121 Anson Way, Suite #204, Raleigh NC, 27615
Qualifications
CRD# 6322529
Firm CRD# 7691
Series 7, 66
Compensation/Fee Fee-Based, Commissions, Flat Fee, Based on Assets
Office Location
620 South Tryon Street,
Charlotte,
NC
28213
Phone Number
980-384-8247
Granville has over 11 years of experience in the financial services industry and he began his practice at Merrill in 2022. Before joining Merrill Granville spent six years as an Assistant Vice President with PNC Investments where he built a financial practice in Charlotte, NC. His Focus offers a comprehensive approach to managing wealth that begins with understanding a clients needs. He then ensures every strategy is grounded in that understanding. Granville is driven to deliver an exceptional service experience for each client by helping them pursue their objectives with integrity. Granville studied investment planning at, "The College of Financial Planning", where he obtained is CRPC designation. He also studied for the Certification for Investment Management Analysts at Yale. Though he is a Charlotte native he currently resides in Concord, NC with his new wife Ahlivia and their two "bruisers" for dogs, Titan & Raleigh. They are also active members of their church and avid volunteers for causes near and dear to them.
Advisory Services Provided:
Financial Planning, Retirement Planning, 401K Rollovers, Wealth Management, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management, Insurance Products & Annuities
Qualifications
Firm CRD# 145151
Series 6, 63, 65, 66
Compensation/Fee Fee-Based, Hourly, Based on Assets
Office Location
5815 Oleander Drive,
Suite 260,
Wilmington,
NC
28403
Phone Number
910-742-0509
We stand out as financial advisors with a unique approach. Our team brings together a CERTIFIED FINANCIAL PLANNER™, a mechanical engineer, an MBA holder, and a former manager from a leading investment company, each with decades of experience. The combination of our diverse backgrounds, education, and extensive experience empowers us to think outside the box and challenge conventional wisdom in our investment planning approach. We have a reputation for educating individuals in an easy-to-understand manner so they can grasp personal finance and use those concepts to pursue their financial objectives. No one strategy fits everyone, which is why every client gets our undivided attentionfrom planning to execution to follow-up.
Advisory Services Provided:
Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management, Estate Planning & Trusts, Insurance Products & Annuities
Qualifications
Firm CRD# 39543
Series 7, 66
Compensation/Fee Fee-Based, Hourly, Based on Assets
Office Location
1508 Military Cutoff Rd.,
Suite 206,
Wilmington,
NC
28403
Phone Number
910-509-7230
We are committed to maintaining the highest standards of integrity and professionalism in our relationship with you, our client. We endeavor to know and understand your financial situation and provide you with personalized information, services, and products to help you reach your goals. Strategic Investment Partners is a sub-branch of Conway & Company Financial Services. We operate as FIDUCIARIES so we are ethically and legally required to invest our client assets in their best interest. A long-term perspective of the Dow Jones Industrial Average reveals the reality there are extended periods of time which the US equity market will trend upwards, and also long periods of time where the market will instead stagnate or move generally lower. Our Fact-Based Strategy - Underpinning our Fact-Based strategy is a set of core beliefs about the market. These core beliefs are: 1. We don't know where the market will go - and neither does anyone else. 2. Wherever the market goes, it will get there by trending. 3. Along the way, there will be outperformers and underperformers. Armed with these three core beliefs, we are well equipped to handle whatever the market brings - ALL WITHOUT HAVING TO MAKE A SINGLE PREDICTION. Using supply and demand analysis, our Fact- Based strategy concentrates on identifying outperformers to include in our portfolios. Together, they give us the "when" and "what" - the two essential ingredients of success.
Advisory Services Provided:
Portfolio Management, Retirement Planning, 401K Rollovers, Financial Advice & Consulting, Financial Planning for Individuals, Estate Planning & Trusts
Qualifications
Firm CRD# 111167
Compensation/Fee Fee-Based
Office Location
3917 University Drive Suite 200,
Durham,
NC
27707
Phone Number
888-242-6766
Allworth Financial has been providing transparent, straightforward, and honest financial advice to individuals and families for more than 26 years. They are a fiduciary, fee-based firm that focuses on helping people achieve financial confidence. The advisors at Allworth are not salespeople, so their sole interest is providing the recommendations and advice people need to hear. During your free consultation, the advisor will listen to your goals, answer your questions, and lay out a series of next steps for success.
Advisory Services Provided:
Retirement Planning, Tax Advice and Services, Estate Planning & Trusts
Qualifications
Firm CRD# 121529
Series 63, 65, 66
Compensation/Fee Fee-Only, Based on Assets
Office Location
1323 Commerce Drive,
New Bern,
NC
28562
Phone Number
252-638-7598
Altrius Capital is a wealth and investment management firm dedicated to providing sound risk adjusted returns through our proprietary process which focuses on global revenue generation, value and above average income. Our value-driven, income-focused process, is comprised of individual stocks and bonds designed to meet the retirement and investment goals of our clients. For more information, please visit our website www.altriuscapital.com.
Advisory Services Provided:
Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Advice & Consulting, Financial Planning for Individuals, Financial Planning for Businesses, Investment Advice & Management, Tax Advice and Services, Estate Planning & Trusts
The client testimonials appearing above may not necessarily be representative of all client experiences with WiserAdvisor. You may click on the number of total reviews hyperlinked above to review the entirety of the reviews WiserAdvisor has received. WiserAdvisor did not pay any compensation in consideration of such reviews.
| Firm Name | No. of Advisors | No. of Clients | AUM | Fee Structure |
|---|---|---|---|---|
| 1338 | 76254 | $714,587,898,072 | A Percentage of AUM, Hourly charges, Fixed Fees, Performance Based
|
|
| 932 | 4060 | $367,167,074,976 | A Percentage of AUM, Fixed Fees, Commission Based, Performance Based
|
|
| 1029 | 333 | $273,040,118,322 | A Percentage of AUM, Fixed Fees, Performance Based
|
|
| 418 | 7030 | $235,232,798,890 | A Percentage of AUM, Performance Based
|
|
| 180 | 3390 | $62,841,626,948 | A Percentage of AUM, Fixed Fees, Performance Based
|
|
| 264 | 24240 | $38,123,578,794 | A Percentage of AUM, Fixed Fees
|
|
| 60 | 238735 | $30,803,228,222 | A Percentage of AUM, Fixed Fees, Other (SET-UP FEES AND RELATED SERVICES)
|
|
| 3 | 2 | $10,797,568,445 | Fixed Fees, Other (FEE DETERMINED AS A % OF CLIENT TOTAL CAPITAL)
|
|
| 77 | 30 | $10,580,525,716 | A Percentage of AUM, Fixed Fees, Performance Based
|
|
| 227 | 47432 | $10,095,700,130 | A Percentage of AUM, Hourly charges, Fixed Fees
|
|
| 54 | 29 | $9,676,520,191 | A Percentage of AUM, Fixed Fees, Performance Based
|
|
| 30 | 156 | $8,601,633,930 | A Percentage of AUM, Performance Based
|
|
| 45 | 34153 | $8,342,573,056 | A Percentage of AUM
|
|
| 26 | 246 | $7,930,000,000 | A Percentage of AUM
|
|
| 105 | 7 | $6,904,879,783 | A Percentage of AUM, Performance Based
|
When choosing a financial advisor in North Carolina, it's best to look for information about an advisor's experience, credentials (CFP, ChFCs, CFAs, etc.), education, compensation method, and adherence to ethics. For more information, refer to this guide on choosing the best financial advisor in North Carolina.
Financial advisors in North Carolina utilize different compensation methods such as charging a percentage of assets under management (AUM), hourly fees, flat fees, or commissions from product sales. Understanding your advisor's compensation structure is crucial and being aware of potential conflicts of interest that could impact their advice. To gain a better understanding of how financial advisors charge, read more on the costs of hiring a financial advisor.
Yes, financial advisors can provide valuable guidance and support regardless of the size of your portfolio. Even with a small amount to invest, an advisor can help you develop a tailored plan to reach your financial goals, mitigate risks, and make informed financial decisions. To explore how financial advisors can assist with investment management and grow your portfolio, read more about the impact of asset allocation on your portfolio.
Financial advisors listed on our directory for the state of North Carolina offer a range of services, including retirement planning, investment management, estate planning, tax planning, insurance planning, and wealth management. They help clients set financial goals, create a budget, make investment decisions, and manage their wealth. Read on to better understand how financial advisors can assist you with the various services they provide.
When choosing a financial advisor in North Carolina, it's important to research their experience thoroughly, credentials (such as CFP, ChFCs, CFAs), education, compensation method, and commitment to ethical practices. To further research financial advisors, follow our guide on the the FINRA BrokerCheck tool. For more information, refer to this guide on choosing the best financial advisor in North Carolina.
In North Carolina, financial advisors are typically required to have qualifications that comply with state and federal regulations, such as holding licenses as investment advisor representatives (IARs) and often having credentials such as Certified Financial Planners (CFP), Chartered Financial Analysts (CFA), Chartered Financial Consultants (ChFC), and more. Click the "View Full Profile" button of each advisor listed in the directory to further explore a specific financial advisor's qualifications.
Financial advisors in North Carolina can be compensated through fees, commissions, or a mix of both. Fee-only advisors charge fees solely for their services and don't earn commissions from product sales. Fee-based advisors may follow a hybrid model, combining commissions and fees. Commission-based advisors earn their income solely by selling financial products and receive a percentage of the sale. To learn more about financial advisor fees and the factors affecting them, explore the costs of hiring a financial advisor.
