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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0

Regulatory AUM

$241MItem 5.F on the latest filing (2026-05-27); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$223M

Private client RAUM

$241MderivedItem 5.D individuals plus high net worth individuals

Private client share

100%derivedprivate client RAUM over total RAUM

Advisors on IAPD

4

RAUM per advisor

$60.2Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book

Employees

7

Advisory employees

4

Offices

0Schedule D 1.F, beyond the principal office

Accounts

1,226

Individual clients

427

High net worth clients

46

SEC number

801-120773

CRD

118823

Filings on the tape

35

First filed

Mar 12, 2021

Latest filed

May 27, 2026

Organised

Corporation, NC

Website

carolinafinancialadvisors.com

• Occurred

  Jul 29, 2021
  Control person joined

  Ann Jessica Common (Chief Compliance Officer) appeared on Schedule A of Carolina Financial Advisors, Inc.

  Form ADVobserved 4 days ago
• Occurred

  Mar 12, 2021
  First Form ADV filing

  Carolina Financial Advisors, Inc. filed its initial SEC registration (Form ADV)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:ebdb9f7e-a36a-37b8-ce36-8125e00625c8

First observed

Mar 12, 2021

Last observed

May 27, 2026 3 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.