Raleigh Investment Advisors, Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$25,000,000
Clients
42
17% high-net-worth
Advisors
1
of 2 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
42
HighAverage account size
$595,238
About
Raleigh Investment Advisors, Inc. is an independent advisory firm that manages about $25 million on a discretionary basis for a small roster of individual clients. It offers ongoing portfolio management using mutual funds, ETFs, stocks, bonds, certificates of deposit and money-market instruments, and custodial services are provided through Charles Schwab.
The firm combines client-specific information (age, family circumstances, income, health, insurance, job security and retirement date) with quantitative measures such as Morningstar ratings, beta and a “bear ranking” to assess risk and set allocations; it describes a glidepath that reduces equity exposure with age. Accounts are reviewed quarterly, the firm aims to meet with clients twice a year for in-person reviews, and it generally replaces long-term funds that fail to remain near the top of their category.
Distinctive features for a small independent adviser include operating with more than a solo practitioner’s staffing model despite a compact client base and long tenure (founded in 1999), which the brochure ties to regular personal reviews. The firm also notes it seldom votes client securities and has not engaged clients on formal proxy-voting guidelines, a governance practice that differs from many peers.
Client services
Financial planning
Portfolio management
Expertise
General retirement planning
Fee options
1.00% annually, billed quarterly at 0.25% per quarter
Fee for portfolio evaluation determined by Investment Advisor; specific amount not stated
Main office location
Raleigh Investment Advisors, Inc.
Raleigh NC, United States
Number of offices
1
Most active in
Raleigh Investment Advisors, Inc. has reported serving >5 clients in these states in the last 12 months.
North Carolina
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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