Wealth manager, independent · Cornelius, NC
Alphastar Capital Management
Alphastar Capital Management, LLC · SEC-registered investment adviser · CRD 157423 · SEC 801-72361
At a glance
Alphastar Capital Management is an SEC-registered investment adviser based in Cornelius, North Carolina, with $2.5B in regulatory assets under management as of its Form ADV filed July 30, 2026. It reports 8,466 individual clients, 415 of them high-net-worth, holding an average of about $0.3 million each, and 150 employees. That ranks it 453rd among the nation’s 5,657 independent wealth management RIAs and 7th of 160 in North Carolina. It reports Charles Schwab as the custodian for its clients’ separately managed accounts.
Main office 855-340-2514alphastarcm.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $2.5B
- Rank among independent wealth managers
- #453 of 5,657
- Rank among all SEC RIAs
- #3,182 of 17,210
- Rank in North Carolina
- #7 of 160
- Individual clients
- 8,466
- High-net-worth clients
- 415
- Accounts
- 15,795
- Discretionary
- 100% of AUM
- Employees
- 150
- Advisory staff
- 130
- Offices
- 87
Owners and executives on its Form ADV
- Anthony J. ParishChief Investment Officer / Member
- Laura B. FurnerChief Operating Officer
- Julie W. StarrChief Financial Officer
- Anitra CassasGeneral Counsel
- Daniel T. LantzChief Compliance Officer
- Derek A GubalaCo-President
- Casey K. McIntyreCo-President
Custody and brokerage
Broker-dealer
Hybrid RIA
Alphastar Capital Management is a hybrid RIA: 5 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Barnabas Capital, LLC.
- Barnabas Capital, LLC ↗CRD 297890
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, March 2026
Its Form ADV brochure (filed March 2026) names Oakwood Capital Securities as the broker-dealer its advisers are registered with.
Some of Alphastar’s IARs are registered representatives with Oakwood and receive commissions on the purchase and sale of securities in brokerage accounts.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 8,051 | $1.4B | 58% |
| High-net-worth individuals | 415 | $791M | 32% |
| Other investment advisers | 5 | $201M | 8% |
| Pension and profit sharing plans | 20 | $48M | 2% |
| Corporations or other businesses | 21 | $9M | <1% |
| Charitable organizations | 13 | $4M | <1% |
Disciplinary disclosures
Alphastar Capital Management answers yes to 4 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Pension consulting
- Selecting other advisers
- Educational seminars and workshops
- Other services
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗alphastarcm.com ↗
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- Assets, accounts, clients and staff, ten years of filings
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- 7 namedLocked
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in North Carolina
All of North Carolina →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Colony Family Offices, LLCCharlotte | $3.4B | 631 |
| Smith Salley Wealth ManagementGreensboro | $2.9B | 1,093 |
| Guardian Wealth Advisors, LLCRaleigh | $2.7B | 2,123 |
| Cornerstone WealthHuntersville | $2.5B | 2,373 |
| Capital Investment Advisory Services, LLCRaleigh | $2.4B | 6,172 |
| Novare Capital ManagementCharlotte | $1.9B | 757 |
Background
Questions
How much does Alphastar Capital Management manage?
Alphastar Capital Management reports $2.5B in regulatory assets under management across 15,795 accounts, 100% of it on a discretionary basis, on its Form ADV filed July 30, 2026.
How many clients does Alphastar Capital Management have?
It reports 8,466 individual clients: 415 high-net-worth individuals and 8,051 other individuals. Individuals account for about 90% of its regulatory assets.
Where is Alphastar Capital Management headquartered?
Its main office is in Cornelius, North Carolina. It reports 87 offices in total and 150 employees, 130 of whom perform investment advisory functions.
How does Alphastar Capital Management charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; hourly charges; fixed fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Alphastar Capital Management use?
It reports Charles Schwab as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed July 30, 2026, it reports these amounts held: Charles Schwab ($2.3B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Alphastar Capital Management a hybrid RIA with a broker-dealer?
Alphastar Capital Management is a hybrid RIA: 5 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Barnabas Capital, LLC. Those representatives can also earn commissions on brokerage business through the broker-dealer, where different rules apply than for advisory accounts.
Is Alphastar Capital Management a fiduciary?
As an SEC-registered investment adviser, Alphastar Capital Management owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. 5 of its employees are also registered representatives of a broker-dealer, where different rules apply to brokerage recommendations.
Where these numbers come from
Every figure is Alphastar Capital Management’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-07-30), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →