UWHARRIE INVESTMENT ADVISORS, INC.
Adviser information for UWHARRIE INVESTMENT ADVISORS, INC. last updated from Form ADV on March 21st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | North Carolina, United States |
Employees
| Total Number of Employees | 17 |
|---|---|
| Investment Advisory/Research | 17 |
| Registered Broker-Dealer Representatives | 16 |
| Registered State Investment Advisers | 17 |
| Licensed Agents of an Insurance Company | 8 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 764 | $224.7M |
| Non-Discretionary | 0 | $0 |
| Total | 764 | $224.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 602 | $119.1M |
| HNW Individuals | 134 | $77.2M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $2.6M |
| Charitable organizations | 19 | $22.5M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 7 | $3.2M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 16 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 110.8M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| THE WRAP PROGRAM | UWHARRIE INVESTMENT ADVISORS, INC. |
Identifiers
| SEC RIA File Number | 801-63767 |
|---|---|
| SEC ERA File Number | 801-63767 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 117592 |
| Legal Entity Identifier | None |
Principal Office
132 NORTH FIRST STREETALBEMARLE
NC
United States
Monday - Friday, 8:30 - 5:00PM
Tel: 704-983-5959, Fax: 704-982-4520
Websites
Chief Compliance Officer
MISTY THORNBURG
CCO
132 NORTH FIRST STREET
ALBEMARLE
NC
United States
Tel:
704-991-1229
Fax:
704-982-4520
M*********@***********M
(Full email address available in API data)
Regulatory Contact
CHRISTY D. STONER
CEO
132 N. FIRST STREET
ALBEMARLE
NC
United States
Tel:
704-991-1138
Fax:
704-982-4520
C******@***********M
(Full email address available in API data)
Industry Affiliates
| BOS AGENCY INC. | Insurance company or agency |
| THE STRATEGIC ALLIANCE CORPORATION | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| UWHARRIE BANK | Banking or thrift institution |
| UWHARRIE CAPITAL CORP | Banking or thrift institution |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| STONER, CHRISTY, DAVIS | Individual | – | CEO/IC/DIRECTOR | 02/1991 | < 5% |
| DICK, ROGER, LEE | Individual | – | INVESTMENT COMMITTEE | 02/1996 | < 5% |
| UWHARRIE CAPITAL CORP | Domestic Entity | – | 100% OWNER | 03/1999 | > 75% |
| THORNBURG, MISTY, WHITLEY | Individual | – | SENIOR VP/OPERATIONS & DATA MANAGER/IC/CCO | 06/2005 | < 5% |
| MISENHEIMER, LORELEI, VIRGINIA | Individual | – | EXECUTIVE VICE PRESIDENT | 04/2005 | < 5% |
| GASKIN, DAVID, C. | Individual | – | EXECUTIVE VICE PRESIDENT | 04/2012 | < 5% |
| EUDY, KYLE, VANN | Individual | – | EXECUTIVE VICE PRESIDENT | 06/2021 | < 5% |