Wealth manager, independent · Charlotte, NC
IA Network, LLC
SEC-registered investment adviser · CRD 319096 · SEC 801-123452
At a glance
IA Network, LLC is an SEC-registered investment adviser based in Charlotte, North Carolina, with $200 million in regulatory assets under management as of its Form ADV filed March 23, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 259 individual clients. By Form ADV it is a wealth manager, ranked 5,816th of 8,915 wealth managers and 12,243rd of 17,210 SEC-registered advisers by assets.
Main office 704-272-1211ianetwork.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $200M
- Rank among wealth managers
- #5,816 of 8,915
- Rank among all SEC RIAs
- #12,243 of 17,210
- Rank in North Carolina
- #205 of 288
- Individual clients
- 259
- High-net-worth clients
- 62
- Accounts
- 593
- Discretionary
- 100% of AUM
- Employees
- 5
- Advisory staff
- 4
- Offices
- 4
Owners and executives on its Form ADV
- Robert D. SchaffManaging Member & Chief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
IA Network, LLC is a hybrid RIA: 2 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed March 2026) names Purshe Kaplan Sterling Investments, an unaffiliated broker-dealer, as the broker-dealer its advisers are registered with.
Compensation for Sales of Securities and Insurance Representatives of our firm are registered representatives of Purshe Kaplan Sterling Investments, Inc (“PKS”), member FINRA/SIPC.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 62 | $133M | 66% |
| Individuals | 197 | $59M | 30% |
| Pension and profit sharing plans | – | $4M | 2% |
| Charitable organizations | – | $3M | 2% |
| Corporations or other businesses | – | $0M | <1% |
Disciplinary disclosures
IA Network, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Pension consulting
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗ianetwork.com ↗
AtlasMembers
The full record on IA Network, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 3 years of filings
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- Growth over one, three and five years
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- Rank against 5,963 peers of its type and size
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- Owners and executives, with titles and stakes
- 1 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does IA Network, LLC manage?
IA Network, LLC reports $200 million in regulatory assets under management across 593 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 23, 2026.
What kind of firm is IA Network, LLC?
IA Network, LLC is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are IA Network, LLC’s clients?
By assets, its largest client types are high-net-worth individuals ($133 million, 62 clients); individuals ($59 million, 197 clients); pension and profit sharing plans ($4 million).
Does IA Network, LLC have any disciplinary history?
IA Network, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is IA Network, LLC’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 (2026-03-23), 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). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. 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 →