This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Firm class

independent wealth managerderivedprivate_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=4.0

Regulatory AUM

$313MItem 5.F on the latest filing (2026-03-25); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$308M

Private client RAUM

$307MderivedItem 5.D individuals plus high net worth individuals

Private client share

98%derivedprivate client RAUM over total RAUM

Advisors on IAPD

4

RAUM per advisor

$78.4Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book

Employees

6

Advisory employees

4

Offices

0Schedule D 1.F, beyond the principal office

Accounts

1,591

Individual clients

459

High net worth clients

128

SEC number

801-119040

CIK

1786411

CRD

288837

Filings on the tape

14

First filed

Jun 11, 2020

Latest filed

Mar 25, 2026

Organised

Limited Liability Company, SC

Website

carolinawa.com

• Occurred

  Jun 11, 2020
  First Form ADV filing

  Carolina Wealth Advisors filed its initial SEC registration (Form ADV)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:93e02f3e-92f2-bd2c-9bab-8834a59822c2

First observed

Jun 11, 2020

Last observed

Mar 25, 2026 5 months ago

Source families

Federal regulator filings

3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.