SourcingSourcing

UWHARRIE INVESTMENT ADVISORS, INC.

C46
CRD 117592·SEC 801-63767·ALBEMARLE, NC
AUM
$337.8M
$100M-$500M
Est. Revenue
$3.4M
@ 1% on AUM
Est. EBITDA
$1.0M
@ 30% margin
Est. Deal Value
$8.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
UWHARRIE INVESTMENT ADVISORS, INC.
CRD
117592
SEC file #
801-63767
EIN
—
DBA names
—

Economics

AUM
$337.8M
AUM band
$100M-$500M
AUM trajectory
'20'26
$136.5M → $337.8M▲ +147%
Client mix
Individuals Other609
Individuals High Net Worth228
Charitable Organizations27
Corporations11

Operations

Employees (total)
14
Advisory staff (per ADV)
12
Advisory staff (5-yr trend)
'20'26
15 advisors → 12 advisors▼ -20%
Primary office
ALBEMARLE NC
Branches
—

Custodian & Brokerage

Primary custodian
Pershinglow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
03/30/2026
ADV-W filed at
—
Website
uwharrie.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
UWHARRIE CAPITAL CORP
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
6
Control Persons
UWHARRIE CAPITAL CORP
DICK, ROGER, LEE
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
UWHARRIE.COM
Rdap Domain Creation Date
1997-01-07T05:00:00Z
Rdap Firm Age Years
29
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No
Form 5500 Plan Count
1
Form 5500 Total Compensation
19,651
Form 5500 Compensation Trajectory 3y
202619,651
Form 5500 Plan Count Trajectory 3y
20261
Schedule C Total Compensation
19,651
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Cik
0000898171
Edgar Registered
Yes
Edgar Filing Count
1,003
Edgar First Filing Date
2012-03-23
Edgar Last Filing Date
2026-05-21
Edgar Form D Count
3
Edgar Form D Offerings
2021-09-152021-09-15 · 0001209191-21-056188
2019-10-232019-10-23 · 0001209191-19-053862
Edgar Xbrl Assets Latest
Value Usd1,196,345,000
Fiscal Year End2025-12-31
Edgar Sic Description
State Commercial Banks
Edgar Former Names
STANLY CAPITAL CORP

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
16
Bc Firm Active IA Count
17
Bc Firm IAR Count
17
Custodian Candidates
Full
Pershing4
E*trade4
Edgar Addresses
Mailing
P O BOX 338ALBEMARLE, NC 28002-0338
Business
132 NORTH FIRST STREETPO BOX 338ALBEMARLE, NC 28001
Edgar EIN
561814206
Edgar Recent Filings
42026-05-21 · 0001193125-26-233866
42026-05-21 · 0001193125-26-233840
Edgar Sic
6022
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2028-01-06T05:00:00Z
Rdap Domain Last Changed
2022-11-23T07:51:32Z
Rdap Nameservers
Pdns03.domaincontrol.comPdns04.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Trust Company Affiliate
No

People (17)

17
STONER, CHRISTY, DAVIS
IAR · Executive Officer · 2.5%
1932795
THORNBURG, MISTY, WHITLEY
IAR · Executive Officer · 2.5%
4203345
EUDY, KYLE, VANN
IAR · Executive Officer · 2.5%
5573392
DICK, ROGER, LEE
IAR · Executive Officer · 2.5%
1639662
GASKIN, DAVID, C.
IAR · Executive Officer · 2.5%
4338784
MICHAEL GLENN HARWOOD
IAR
4711386
KELLY BROOKS SMITH
IAR
3085514
JENNIFER BROYHILL MOREHEAD
IAR
6405661
JOANNE B BURLESON
IAR
5704772
BROOKE LATON SENTER
IAR
4690337
Carl Webster Grubb
IAR
7415316
Hayden Reece Hicks
IAR
7803850
ROBERT BUGG BRANNAN
IAR
6059550
VELINDA FINK BOST
IAR
2428985
JAMES N PERRY
IAR
6928312
Bryson Young Childress
IAR
8222582
Thomas Eugene Wall
IAR
7259127