DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
C••••••• F•••••••• A•••••••• I•••
Latest filing May 27, 2026
First filing on the tape Mar 12, 2021 · 35 filings
SEC status approved since Apr 9, 2021
RAUM
$241M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
100%
$241M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$60.2M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$241M as of May 27, 2026
Mar 2, 2022$200M then
HNW client RAUM$119M as of May 27, 2026
Mar 2, 2022$89.7M then
State-registered IARs (5.B.3)4 as of May 27, 2026
Mar 2, 20223 then
Employees (5.A)7 as of May 27, 2026
Mar 2, 20225 then
Private funds: no history
RAUM +14% over the last fiscal year+13% a year over threeIARs 4 to 4
Practice profile
derived from the filing of May 27, 2026; every figure names its basis
- RAUM per advisor
- $60.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 118derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $196,481derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -24%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$122M50%
- High-net-worth individuals$119M49%
- Corporations and businesses$260,8990.1%
- Individual clients
- 427reported
- HNW clients
- 46reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,226reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• W••• J••••Certified Financial Planner | Greensboro, Nc | Jan 25, 2013 | 44 y | 0 |
| W•••••• S•••• P•••••Certified Financial Planner | Greensboro, Nc | Jul 21, 2017 | 27 y | 2 |
| D•••• L•••••• B•••Certified Financial Planner | Greensboro, Nc | Jul 28, 2020 | 37 y | 1 |
| P•••••• H••••• W•••••••• | Greensboro, Nc | Mar 7, 2024 | 10 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- W•••••• A• C••••••••• to C••••••••• A•••••••• I••Jan 20, 2015 · RIA to a state-registered adviser
Joined, latest
- P•••••• H••••• W•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 7, 2024 · Wirehouse to independent RIA
- D•••• L•••••• B••• from F•••••••• S••••••• A••••••• I••Jul 28, 2020 · Other
- W•••••• S•••• P••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jul 21, 2017 · Other
- W•••••• A• C••••••••• from M••••• S••••••Jan 26, 2012 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••• C••••••••• W••• · Presidentcontrolsince 04/2000 · owns 75% or more
- N••••••• J••••••• A•• · Chief Compliance Officercontrolsince 06/2021 · owns less than 5%
Related persons
Schedule D 7.A
- B••• • A•••••••••real estaten
- K•••••• V••••• F••••••••• I•••real estaten
- S••••• S•••• W••••• M•••••••••investment advisernRAUM $1.4B
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Greensboro, Nc · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Feb 11, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $211,621,434 to $240,885,264, advisors 4 to 4, private clients 621 to 473, offices 0 to 0 (2025-04-29 to 2026-02-11)peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,034 to 1,226Dec 23, 2025 to Feb 11, 2026
- HNW clients · 39 to 46Dec 23, 2025 to Feb 11, 2026
- Individual clients · 582 to 427Dec 23, 2025 to Feb 11, 2026
- Discretionary RAUM · $195M to $223MDec 23, 2025 to Feb 11, 2026
- HNW RAUM · $101M to $119MDec 23, 2025 to Feb 11, 2026
- Individual RAUM · $111M to $122MDec 23, 2025 to Feb 11, 2026
- Non-discretionary RAUM · $16.3M to $17.4MDec 23, 2025 to Feb 11, 2026
- RAUM · $212M to $241MDec 23, 2025 to Feb 11, 2026
- Financial planning clients · 1-10 to 1-10Apr 29, 2025 to Jun 12, 2025
- Accounts · 400 to 1,034Sep 30, 2024 to Mar 5, 2025
- HNW clients · 34 to 39Sep 30, 2024 to Mar 5, 2025
- Individual clients · 358 to 582Sep 30, 2024 to Mar 5, 2025
- Pension plan clients · 7 to 0Sep 30, 2024 to Mar 5, 2025
- Discretionary RAUM · $159M to $195MSep 30, 2024 to Mar 5, 2025
- HNW RAUM · $71.7M to $101MSep 30, 2024 to Mar 5, 2025
- Individual RAUM · $87.3M to $111MSep 30, 2024 to Mar 5, 2025
- Non-discretionary RAUM · $15.7M to $16.3MSep 30, 2024 to Mar 5, 2025
- Pension RAUM · $15.7M to $0Sep 30, 2024 to Mar 5, 2025
- RAUM · $175M to $212MSep 30, 2024 to Mar 5, 2025
- Employees · 6 to 7Mar 12, 2024 to Sep 30, 2024
- Advisory employees · 3 to 4Feb 23, 2024 to Feb 26, 2024
- State-registered IARs · 3 to 4Feb 23, 2024 to Feb 26, 2024
- Accounts · 463 to 400Jul 17, 2023 to Feb 23, 2024
- HNW clients · 42 to 34Jul 17, 2023 to Feb 23, 2024
- Individual clients · 410 to 358Jul 17, 2023 to Feb 23, 2024
- Pension plan clients · 10 to 7Jul 17, 2023 to Feb 23, 2024
- Discretionary RAUM · $148M to $159MJul 17, 2023 to Feb 23, 2024
- HNW RAUM · $79.9M to $71.7MJul 17, 2023 to Feb 23, 2024
- Individual RAUM · $67.5M to $87.3MJul 17, 2023 to Feb 23, 2024
- Non-discretionary RAUM · $17.7M to $15.7MJul 17, 2023 to Feb 23, 2024
- Pension RAUM · $17.7M to $15.7MJul 17, 2023 to Feb 23, 2024
- RAUM · $165M to $175MJul 17, 2023 to Feb 23, 2024
- Employees · 5 to 6May 22, 2023 to Jul 17, 2023
- Accounts · 1,076 to 463Jan 10, 2023 to Mar 10, 2023
- HNW clients · 40 to 42Jan 10, 2023 to Mar 10, 2023
- Individual clients · 534 to 410Jan 10, 2023 to Mar 10, 2023
- Pension plan clients · 48 to 10Jan 10, 2023 to Mar 10, 2023
- Discretionary RAUM · $176M to $148MJan 10, 2023 to Mar 10, 2023
- HNW RAUM · $89.7M to $79.9MJan 10, 2023 to Mar 10, 2023
- Individual RAUM · $85.6M to $67.5MJan 10, 2023 to Mar 10, 2023
Signals
2 dated events
- Ann Jessica Common (Chief Compliance Officer) appeared on Schedule A of C••••••• F•••••••• A•••••••• I•••Jul 29, 2021 · Control person joined · fact
- C••••••• F•••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Mar 12, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 336-333-0176reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 336-355-9027reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 336-574-3132reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/carolina-financialadvisors-increportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 336-333-0176reportedpublic record, Form ADV, May 27, 2026
- Team page
- CAROLINAFINANCIALADVISORS.COM/teamreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $60.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026