Brian R. Raleigh

RALEIGH CAPITAL MANAGEMENT

CARY, NC 27511

Some features on this profile are disabled

CRD#: 2870307

Professional summary

Brian Richard Raleigh is a registered financial advisor currently at RALEIGH CAPITAL MANAGEMENT INC. located in Cary, North Carolina.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Brian has worked at 6 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Richard Raleigh's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 15, 2012 - Present

RALEIGH CAPITAL MANAGEMENT INC.

Office #1: 117 Edinburgh South Drive Suite 110, Cary, NC 27511

RIA

CRD#: 149538

CARY, NC

Past

May 25, 2017 - April 1, 2020

FREEDOM INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 126052

Carry, NC

Past

April 19, 2017 - March 31, 2020

BROOKSTONE ASSET MANAGEMENT, LLC

RIA

CRD#: 153467

Cary, NC

Past

July 30, 2012 - October 11, 2017

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

CARY, NC

Past

January 5, 2009 - February 12, 2009

FINANCIAL WEST GROUP

RIA

CRD#: 16668

RALEIGH, NC

Past

August 8, 2005 - February 12, 2009

FINANCIAL WEST GROUP

CRD#: 16668

RENO, NV

Past

October 1, 1997 - February 25, 2005

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

OMAHA, NE

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RALEIGH CAPITAL MANAGEMENT INC.

RALEIGH CAPITAL MANAGEMENT INC. | TRUWEALTH CAPITAL MANAGEMENT, INC. | RALEIGH CAPITAL MANAGEMENT, INC.

CRD#: 149538 / SEC#: 801-121781

RIA

Registered Investment Advisory firm - (7/16/2021 Approved)

North Carolina

Registered Investment Advisory firm - (8/17/2021 Terminated)

Texas

Registered Investment Advisory firm - (8/13/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(6/15/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/29/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/1/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 9/30/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RALEIGH CAPITAL MANAGEMENT INC.

RALEIGH CAPITAL MANAGEMENT INC. | TRUWEALTH CAPITAL MANAGEMENT, INC. | RALEIGH CAPITAL MANAGEMENT, INC.

CRD#: 149538 / SEC#: 801-121781

RIA

Registered Investment Advisory firm - (7/16/2021 Approved)

North Carolina

Registered Investment Advisory firm - (8/17/2021 Terminated)

Texas

Registered Investment Advisory firm - (8/13/2021 Terminated)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

117 Edinburgh South Drive Suite 110, Cary, NC 27511

Mailing Address

Phone number

(919) 852-1215

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A FEBRUARY 2026 (2/20/2026)

Regulatory assets under management

Total Number of Accounts	2,293
AUM (Assets Under Management)	$ 397,774,895

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Daniel Conklin

HUNTER STREET INVESTMENT ADVISORS LLC

IAR

Apex, NC

Daniel Braddock

ALMEGA WEALTH MANAGEMENT

IAR

Raliegh, NC

Laird Hepburn

BSG ADVISERS

IAR

Apex, NC

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brian R. Raleigh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Richard Raleigh's CRS (Customer Relationship Summary).

Certified licenses

Experience

RALEIGH CAPITAL MANAGEMENT INC.

FREEDOM INVESTMENT MANAGEMENT, INC.

BROOKSTONE ASSET MANAGEMENT, LLC

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

FINANCIAL WEST GROUP

FINANCIAL WEST GROUP

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Primary Firm SEC Registration

RALEIGH CAPITAL MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/29/2008

Series 63

Date: 10/1/1997

Series 6

Date: 9/30/1997

Current Firm

RALEIGH CAPITAL MANAGEMENT INC.

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RALEIGH CAPITAL MANAGEMENT INC.

TRUST BUT VERIFY

Similar Advisors