InvestorTrustHub · North Carolina

North Carolina Investment Adviser & Securities Intelligence

The North Carolina Secretary of State Securities Division is the state securities regulator. IARD is filing infrastructure. IAPD is public adviser research. Official NC registers cover investment advisers (IA), investment adviser representatives (IAR), broker-dealers (BD), and securities agents (AG — not the Attorney General). Firm is not person. State IA is not ERA, not a federal notice filing, and not a principal office. CRD is the core identity. A summary cease and desist is not a final finding. A charge is not a conviction. Missing is not zero. There is no combined North Carolina adviser total. This page does not rank advisers or publish a Trust Score.

We organize the evidence. You decide.

Research North Carolina-headquartered SEC/IARD firms Verify on IAPD

State of the record

NC SOS IA register · IAPD state IA · ERA · Notice · Principal office

687

Current NC state IA register — distinct firm CRDs

Official Register of NC IAs, current as of 2026-06-30. Not IARs, BDs, or agents.

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Source. https://www.sosnc.gov/webfiles/documents/forms/securities/Register_of_NC_IAs.pdf

Source date. 2026-06-30

Coverage. Official NC SOS downloadable IA register

Grain. firm CRD on the Register of NC IAs

Calculation. 687 line-start CRD rows; 687 distinct firm CRDs; missing CRD 0.

Caveat. May 20, 2026 page copy is superseded. Live PDFs say 6/30/26. Retrieval is not sourceAsOf.

701

IAPD NC state IA (APPROVED)

Complementary IARD/IAPD lens. Different clock from the SOS register.

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Source. https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_FIRM_STATE_Feed_09_17_2026.xml.gz

Source date. 2026-09-17

Coverage. ACQUIRED_IAPD_STATE_COMPILATION

Grain. state-registered investment adviser firm; registration jurisdiction = NC

Calculation. 702 NC StateRgstn rows; 701 APPROVED; 1 TERMREQUEST. Filter is Rgltr/@Cd=NC, not address.

Caveat. IAPD jurisdiction=NC APPROVED is complementary to the NC SOS IA register. Different source clocks. Do not force the counts to match. Not SEC RIA, not ERA, not notice, not principal office.

State ERA

North Carolina state ERA reporting firms. ERA is not an RIA.

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Source. IA_FIRM_STATE_Feed_09_17_2026

Source date. 2026-09-17

Coverage. ACQUIRED_IAPD_STATE_COMPILATION

Grain. ERA/Rgltr/@Cd=NC

Calculation. 33 distinct firm CRDs; overlap with NC state IA = 0.

Caveat. ERA is not a North Carolina state IA and is not an SEC RIA.

3,704

Notice

Federal-covered notice filings in North Carolina. Not state IA.

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Source. IA_FIRM_SEC_Feed_09_17_2026

Source date. 2026-09-17

Coverage. ACQUIRED_IAPD_SEC_COMPILATION

Grain. NoticeFiled/States/@RgltrCd=NC and status FILED

Calculation. 3704 distinct CRDs. Overlap with approved state IA = 4.

Caveat. Notice filing is not North Carolina state IA registration.

325

Principal office

SEC/IARD roster firms with a North Carolina principal office. Not registration.

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Source. SEC IARD firm compilation / reconciled roster geography

Source date. 2026-08-27

Coverage. National roster overlay

Grain. SEC IARD roster firm with principal-office region = NC

Calculation. COUNT of roster firms with principal-office region NC = 325. Raw compilation MainAddr=@State=NC = 325.

Caveat. A North Carolina principal office is not North Carolina state IA registration and is not a notice filing. These firms already exist in the federal graph.

NC SOS IA register vs IAPD — exact CRD

Exact CRD overlap 663. SOS-only 24. IAPD-only 38. SOS IA register current as of 2026-06-30. IAPD compilations 2026-09-17. Difference is not enforcement. Do not add the populations.

IAR, broker-dealer, and AG stay separate

Register of NC IARs: 21,528 person CRDs. IAR is not an IA firm. Register of NC BDs: 1,786 firm CRDs — not investment advisers. Register of NC AGs: 247,984 securities-agent person CRDs — not the Attorney General and not BD companies.

Criminal enforcement and administrative actions

NC SOS publishes a year-navigated catalog (2004–2024 populated; 284 HTML entries). It is mixed securities-class, not an IA census. A summary cease and desist is issued before respondents answer; it is not a final finding. A later final order may confirm allegations if no hearing is requested. Administrative orders are not criminal convictions. Charge, indictment, plea, and conviction are different stages. Exact CRD attachments in this freeze: 0. Name-only is unsafe. Unique matter IDs are unknown — not zero.

NC SOS Criminal Enforcement & Administrative Actions

What this page does not mean

Do not add IA + IAR + BD + AG, or state IA + ERA + notice + principal office.
Charlotte and Raleigh are not InvestorTrustHub intelligence routes.
Complaint intake is not a complaint census. Exam guidance is not exam-result counts.
Search-only is not zero. No Trust Score. No ranking.