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SEC data October 1, 2026
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SEC data October 1, 2026
Sign inYou’re seeing a preview. Members get every firm, every advisor and every filing.
Sign in or start freeEvery SEC-registered adviser, 17,210 firms, from Form ADV filings as of October 1, 2026.
5 firms manage $4.2B
| AUM trail | ||||||||
|---|---|---|---|---|---|---|---|---|
| 1Capital Investment Advisory Services, LLCRaleigh, NC | NC | $2.4B | +24% | 6,276 | $243K | 87 | Charles Schwab; BNY Pershing | |
| 2Capital Investment Counsel IncRaleigh, NC | NC | $1.0B | +15% | 1,271 | $805K | 4 | BNY Pershing | |
| 3Physicians Financial Services, Inc.Raleigh, NC | NC | $482M | +12% | 216 | $848K | 3 | Charles Schwab | |
| 4The Wealth Group, LTDRaleigh, NC | NC | $160M | −45% | 148 | $547K | 5 | Charles Schwab | |
| 5Claremont Financial Group,inc.Claremont, CA | CA | $140M | +18% | 275 | $259K | 1 | Charles Schwab |