Wealth manager, bank-affiliated · Albemarle, NC
Uwharrie Investment Advisors, Inc.
SEC-registered investment adviser · CRD 117592 · SEC 801-63767
At a glance
Uwharrie Investment Advisors, Inc. is an SEC-registered investment adviser based in Albemarle, North Carolina, with $338 million in regulatory assets under management as of its Form ADV filed March 30, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 837 individual clients. By Form ADV it is a wealth manager (bank-affiliated), ranked 4,016th of 8,915 wealth managers and 9,582nd of 17,210 SEC-registered advisers by assets.
Main office 704-983-5959uwharrie.comAs filed on Form ADV
- Regulatory AUM
- $338M
- Rank among wealth managers
- #4,016 of 8,915
- Rank among all SEC RIAs
- #9,582 of 17,210
- Rank in North Carolina
- #156 of 288
- Individual clients
- 837
- High-net-worth clients
- 228
- Accounts
- 877
- Discretionary
- 100% of AUM
- Employees
- 14
- Advisory staff
- 12
- Offices
- 5
Owners and executives on its Form ADV
- Christy D. StonerCeo/ic/director
- Roger L. DickInvestment Committee
- Misty W. ThornburgSenior Vp/operations & Data Manager/ic/cco
- David C. GaskinExecutive Vice President
- Kyle V. EudyExecutive Vice President
Custody and brokerage
Broker-dealer
Hybrid RIA
Uwharrie Investment Advisors, Inc. is a hybrid RIA: 14 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: The Strategic Alliance Corporation.
- The Strategic Alliance Corporation ↗CRD 32788
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 The Strategic Alliance and Private Client Services as the broker-dealer its advisers are registered with.
Certain personnel of the Firm are registered representatives of TSAC, a securities broker-dealer and SIPC member.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 228 | $152M | 45% |
| Individuals | 609 | $137M | 41% |
| Charitable organizations | 27 | $31M | 9% |
| Corporations or other businesses | 11 | $14M | 4% |
| Pension and profit sharing plans | – | $3M | <1% |
Disciplinary disclosures
Uwharrie Investment Advisors, Inc. 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
- Portfolio management for businesses and institutions
- Pension consulting
- Periodicals or newsletters
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗uwharrie.com ↗
AtlasMembers
The full record on Uwharrie Investment Advisors, Inc.
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, ten years of filings
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- Growth over one, three and five years
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- Rank against 6,401 peers of its type and size
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- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
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- 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 Uwharrie Investment Advisors, Inc. manage?
Uwharrie Investment Advisors, Inc. reports $338 million in regulatory assets under management across 877 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 30, 2026.
What kind of firm is Uwharrie Investment Advisors, Inc.?
Uwharrie Investment Advisors, Inc. 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. It reports a bank or thrift among its related persons. A public reporting company controls it.
Who are Uwharrie Investment Advisors, Inc.’s clients?
By assets, its largest client types are high-net-worth individuals ($152 million, 228 clients); individuals ($137 million, 609 clients); charitable organizations ($31 million, 27 clients).
Does Uwharrie Investment Advisors, Inc. have any disciplinary history?
Uwharrie Investment Advisors, Inc. 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 Uwharrie Investment Advisors, Inc.’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 (2026-03-30), 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). 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 →