September 18, 2025
RIAs are one of the most dynamic and fast growing channels for investment firms to call on when fundraising. The challenge has always been: “what RIAs invest in outside managers and are not investment managers themselves?”
Through our Dakota Marketplace database of RIAs, we have aimed to solve that problem by curating and vetting each RIA by hand and only showing those RIAs that are true prospects for an investment firm. This saves both the investment sales team member time, but also saves the “other” RIAs that don’t allocate to other managers from getting unnecessary emails and phone calls.
Below are a few RIAs in Charlotte that we thought you might like to know. For a more detailed list of RIAs in Charlotte, click here to see for free.
1. Compass Financial PartnersAUM: $18.7B
Compass Financial Partners, a Marsh McLennan Agency LLC Company, operates as a RIA with a specialization in DC Consultant services. The firm is located at 701 Green Valley Road Suite 308, Greensboro, NC, and serves clients within the Charlotte metro area. Compass Financial Partners focuses on retirement plan consulting and individual wealth management, emphasizing effective plan design and fiduciary support to empower participants in achieving dignified retirements.
The firm manages an AUM of $18.7B. Its platform provides comprehensive assistance to plan sponsors, including the establishment of investment policy statements and vendor selection. Additionally, Compass Financial Partners offers personalized financial planning services that encompass investment advisory, retirement planning, and estate planning, ensuring a holistic approach to wealth management tailored to meet individual client needs.
2. Independent Advisor Alliance
AUM: $14.07B
Independent Advisor Alliance is an RIA specializing in Multi Family Office services. Situated at 11215 N. Community House Road, Suite 775, Charlotte, NC, the organization operates within the Charlotte metro area. Founded in 2013, Independent Advisor Alliance supports over 230 advisors from 140 firms across 27 states, fostering partnerships and providing comprehensive resources for entrepreneurial-minded advisors navigating business ownership complexities. The organization manages an AUM of $14.07B and collaborates with LPL in corporate and hybrid advisor models. Offering a wide array of solutions, Independent Advisor Alliance grants access to alternative investments, strategic industry solutions, and tools for effective client service. Through compliance, support, and consulting programs, the organization empowers advisors to make informed decisions, ensuring client satisfaction and business success.
3. Global Endowment Management
AUM: $12.06B
Global Endowment Management is an RIA specializing in Multi Family Office services. Situated at 224 West Tremont Avenue, Charlotte, NC, the firm operates within the Charlotte metro area. GEM Investments collaborates with endowments, foundations, families, and long-term investors to manage and grow multi-generational capital through customized portfolios tailored to clients' objectives.
Global Endowment Management oversees an AUM of $12.06B, investing in a diversified mix of asset classes and alternative investments. Their strategic approach includes a comprehensive strategy for alternative investments, focusing on private equity, venture capital, real estate, and impact investments. Additionally, GEM emphasizes deep partnership, risk management, and strategic alignment with clients' goals, offering customized OCIO solutions and impact integration to achieve long-term investment objectives.
AUM: $5.36B
Horizon Investments is an RIA specializing in Multi Family Office services. The firm is headquartered at 6210 Ardkey Kell Road Suite 300, Charlotte, NC, operating within the Charlotte metro area. Established in 1995, Horizon Investments is a leader in goals-based investment management, offering innovative solutions to help individual investors achieve their financial objectives.
With an AUM of $5.36B, Horizon Investments has a dual focus on Asset Management through global flexible ETFs and a Consultant/Wealth Management side managing high-net-worth assets and DC/DB consulting. The firm runs asset allocation models for the Wealth Management side and customizes accounts on the Consulting side based on a concentrated recommended list. Horizon Investments caters to a diverse clientele with a tailored approach to investment management.
AUM: $3.90B
Bragg Financial Advisors is an RIA specializing in Multi Family Office services. Situated at 1031 South Caldwell Street Suite 200, Charlotte, NC, the firm caters to high-net-worth individuals, families, business owners, foundations, and endowments. With over 60 years of experience, Bragg Financial offers comprehensive financial planning and investment management services.
Bragg Financial Advisors manages an AUM of $3.9B and operates within the Charlotte metro area. Known for its long-term financial strategies, the firm prioritizes personalized wealth preservation and growth. Additionally, Bragg Financial has an affiliated trust company, Queens Road Capital Management, which oversees mutual funds and other investments. The firm's core principles revolve around providing clear, objective advice and exceptional service, backed by a wealth of experience and expertise.
6. Salem Investment Counselors Inc.
AUM: $3.84B
Salem Investment Counselors Inc. is an RIA specializing in Multi Family Office services. The firm is headquartered at 480 Shepard Street, Winston-Salem, NC and operates within the Charlotte metro area. Founded in 1979, Salem Investment Counselors focuses on providing tailored financial management and guidance to clients, with a current AUM of $3.84B. It offers high-quality asset management and financial planning services customized to individual needs, emphasizing core equity and fixed income portfolios managed internally. Salem Investment Counselors complements its internal portfolios by investing in various vehicles such as mutual funds, ETFs, REITs, and private funds like private equity. The firm has experienced significant growth since opening to the public in 1982, expanding its assets under management. Salem's commitment to helping clients achieve their financial goals through personalized services has been instrumental in its success within the industry.
AUM: $3.16B
Biltmore Family Office is an RIA specializing in Multi Family Office services. Situated at 6836 Morrison Boulevard Suite 100, Charlotte, NC, the firm operates within the Charlotte metro area. Led by Mike Gregory and Emma DeMane, their investment research focuses on private investments and liquid markets, respectively. With an AUM of $3.16B, Biltmore manages about 40 approved strategies, tailoring customized portfolios for clients using a concentrated list of managers.
Biltmore Family Office integrates alternative investments like private equity, hedge funds, and real estate to diversify portfolios and enhance returns. The firm's client base primarily consists of Qualified Purchasers, with a focus on daily liquidity and liquid alternative investments. Notably, Biltmore leverages its network to source niche opportunities and currently offers a convertible arbitrage and merger fund within their investment offerings.
AUM: $2.99B
Colony Family Offices is an RIA specializing in Multi Family Office services. Situated at 4250 Congress Street Suite 175, Charlotte, NC, the firm caters to affluent families, offering integrated wealth planning, investment management, and fiduciary services. With a client base of over 30 multi-generational families in the U.S., Colony manages assets exceeding $2.6 billion. The firm's AUM of $2.99B underscores its commitment to aligning investments with long-term client goals and risk tolerance. Colony's approach includes a comprehensive suite of services encompassing alternative investments like private equity and hedge funds. By focusing on diversification and wealth preservation, Colony ensures customized strategies that resonate with clients' values and objectives, fostering intergenerational wealth management.
AUM: $2.87B
Verger Capital is an RIA specializing in OCIO services. The firm is headquartered at 1834 Wake Forest Road Starling Hall, Winston-Salem, NC, and operates within the Charlotte metro area. Established in 2014 post-spinoff from the Wake Forest University Investment Office, Verger Capital manages an endowment-focused approach, overseeing approximately $2.6 billion for 10 nonprofit clients, including Wake Forest University and various healthcare and educational institutions.
Verger Capital's AUM amounts to $2.87B. The firm's investment philosophy centers on three core principles: protect, perform, and provide. Emphasizing a diversified portfolio structure, Verger Capital integrates fixed income replacements and allocates a third of its portfolios to private asset classes, with a focus on private equity and venture capital exposure. Additionally, Verger Capital prioritizes diversity and inclusion, integrates ESG factors into decision-making, and maintains a rigorous manager selection process to meet clients' investment objectives.
AUM: $2.51B
New Republic Partners is an RIA based in Charlotte. The firm, located at 521 East Morehead Street Suite 100, Charlotte, NC, specializes in multi-family office services. Founded in February 2021, New Republic Partners caters to individuals, families, endowments, foundations, and advisers, with a focus on providing investment, advisory, and credit solutions. The firm targets investors with $10 million or more for its comprehensive wealth-management services.
New Republic Partners manages an AUM of $2.51B. The firm adopts an agnostic approach towards investment vehicles, prioritizing efficient access to various strategies. They integrate alternative investments such as private equity, hedge funds, and real estate into client portfolios to enhance returns and diversify holdings. By leveraging internal co-mingled funds across private equity and private credit, as well as offering proprietary strategies through New Republic Securities, the firm aims to provide attractive risk-adjusted returns and reduce portfolio volatility for its clients.
To see a full list of RIAs in Charlotte or other metros, book a demo of dakota marketplace.
Morgan Holycross is a Marketing Manager at Dakota.
