Advisers / North Carolina
New investment adviser firms in North Carolina
In the four weeks to October 17, 2026, 6 adviser firms based in North Carolina registered for the first time with the SEC or a state regulator.
2new firms a week
5registered advisers, 4 weeks
1exempt fund managers, 4 weeks
Per week
By type, 4 weeks
- SEC-registered adviser3
- State-registered adviser2
- Exempt reporting adviser (SEC)1
The latest firms
| Registered | Firm | Type | City |
|---|---|---|---|
| Oct 15 | Sightcast Equity Group, LLC | SEC RIA | — |
| Oct 13 | Yellowwood Wealth Solutions, LLC | SEC RIA | Charlotte |
| Oct 2 | Autumn Branch Capital, LLC | State RIA | — |
| Oct 1 | Mem Manager, LLC | ERA (SEC) | Charlotte |
| Oct 1 | East Franklin Capital | SEC RIA | Wilmington |
| Sep 28 | Prudent Harbor Advisors | State RIA | — |
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