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••••••• W••••• M••••••••• I•••
Latest filing Apr 27, 2026
First filing on the tape Mar 28, 2012 · 21 filings
SEC status approved since May 7, 2004
RAUM
$798M
reported, Item 5.F
Discretionary
73%
of RAUM
Private clients
72%
$575M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$99.8M
derived; firm RAUM over IAPD count
Employees
10
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$798M as of Apr 27, 2026
Mar 28, 2012$119M then
HNW client RAUM$446M as of Apr 27, 2026
Mar 29, 2018$89.3M then
State-registered IARs (5.B.3)8 as of Apr 27, 2026
Mar 25, 20131 then
Employees (5.A)10 as of Apr 27, 2026
Mar 25, 20136 then
Private funds: no history
RAUM +12% over the last fiscal year+16% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Apr 27, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $99.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $534,442derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 73%derivedof RAUM
- Institutional
- 26%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.1%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
- Custody
- $160M, 248 clientsreportedItem 9.A
- 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
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$446M56%
- Pension and profit-sharing plans$201M25%
- Individuals$130M16%
- Corporations and businesses$18.0M2.3%
- Charitable organizations$4.1M0.5%
- Individual clients
- 443reported
- HNW clients
- 144reported
- Pension plan clients
- 42reported
- Charitable clients
- 9reported
- Accounts
- 1,494reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $160M for 248 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.72 fund_share=0.0 institutional_share=0.26 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• D•••• M•••• | Greenville, Nc | Sep 17, 2014 | 19 y | 2 |
| J••••••• C•••• B••••••••Certified Financial Planner | Greenville, Nc | Jan 7, 2015 | 21 y | 2 |
| D•••• R••••• D••• | Greenville, Nc | Apr 20, 2016 | 22 y | 0 |
| P•••••• D••••• M•••••••Chartered Financial Consultant | Greenville, Nc | Jan 10, 2020 | 35 y | 1 |
| A••• T•••••• O••••••• | Greenville, Nc | Jan 22, 2020 | 14 y | 0 |
| J••••• P••••• P••••• | Greenville, Nc | Apr 15, 2020 | 18 y | 1 |
| D•••• S•••••••• P•••••• | Greenville, Nc | Dec 11, 2020 | 28 y | 0 |
| J•••• L••• M••••••• | Greenville, Nc | Dec 3, 2024 | 10 y | 0 |
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
none on the tape
Joined, latest
- J••••• P••••• P••••• from F•••• C••••••• I••••••• S•••••••• I•••Apr 15, 2020 · Affiliated broker-dealer or bank to independent RIA
- P•••••• D••••• M••••••• from N••••••••• S••••••••• L••Jan 10, 2020 · Other
- J••••••• C•••• B•••••••• from F•• S••••••••• C•••••••••Jan 7, 2015 · Other
- T••••• D•••• M•••• from S••••••• F•••••••• S•••••••• I•••Oct 29, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••• D••••• R••••• · Chief Executive Officercontrolsince 04/2004 · owns 25% to 50%
- P••••••• D••••• S•••••••• · Presidentcontrolsince 03/2005 · owns 25% to 50%
- S•••••• D••••• W••••• · Owner, Chief Compliance Officercontrolsince 03/2005 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Greenville, Nc · principal | 8 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Pinehurst, NC3 employees
What changed
consecutive filings, newest first
- Accounts · 1,404 to 1,494Mar 31, 2025 to Mar 27, 2026
- Charity clients · 8 to 9Mar 31, 2025 to Mar 27, 2026
- Corporate clients · 7 to 8Mar 31, 2025 to Mar 27, 2026
- HNW clients · 134 to 144Mar 31, 2025 to Mar 27, 2026
- Individual clients · 409 to 443Mar 31, 2025 to Mar 27, 2026
- Pension plan clients · 37 to 42Mar 31, 2025 to Mar 27, 2026
- Assets in custody · unset to 160000000.0Mar 31, 2025 to Mar 27, 2026
- Custody of client assets · false to trueMar 31, 2025 to Mar 27, 2026
- Discretionary RAUM · $459M to $584MMar 31, 2025 to Mar 27, 2026
- HNW RAUM · $398M to $446MMar 31, 2025 to Mar 27, 2026
- Individual RAUM · $125M to $130MMar 31, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $252M to $215MMar 31, 2025 to Mar 27, 2026
- Pension RAUM · $172M to $201MMar 31, 2025 to Mar 27, 2026
- RAUM · $712M to $798MMar 31, 2025 to Mar 27, 2026
- Accounts · 1,387 to 1,404Mar 29, 2024 to Mar 31, 2025
- Advisory employees · 7 to 8Mar 29, 2024 to Mar 31, 2025
- Charity clients · 7 to 8Mar 29, 2024 to Mar 31, 2025
- HNW clients · 136 to 134Mar 29, 2024 to Mar 31, 2025
- Individual clients · 374 to 409Mar 29, 2024 to Mar 31, 2025
- Pension plan clients · 38 to 37Mar 29, 2024 to Mar 31, 2025
- Employees · 9 to 10Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 11-25Mar 29, 2024 to Mar 31, 2025
- State-registered IARs · 7 to 8Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $2.7M to $459MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $333M to $398MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $100M to $125MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $621M to $252MMar 29, 2024 to Mar 31, 2025
- Pension RAUM · $165M to $172MMar 29, 2024 to Mar 31, 2025
- RAUM · $624M to $712MMar 29, 2024 to Mar 31, 2025
- Accounts · 522 to 1,387Oct 2, 2023 to Mar 29, 2024
- Advisory employees · 6 to 7Oct 2, 2023 to Mar 29, 2024
- Charity clients · unset to 7.0Oct 2, 2023 to Mar 29, 2024
- Corporate clients · unset to 7.0Oct 2, 2023 to Mar 29, 2024
- HNW clients · 116 to 136Oct 2, 2023 to Mar 29, 2024
- Individual clients · 354 to 374Oct 2, 2023 to Mar 29, 2024
- Employees · 8 to 9Oct 2, 2023 to Mar 29, 2024
- Other offices · 2 to 1Oct 2, 2023 to Mar 29, 2024
- Discretionary RAUM · $2.2M to $2.7MOct 2, 2023 to Mar 29, 2024
- HNW RAUM · $258M to $333MOct 2, 2023 to Mar 29, 2024
- Individual RAUM · $91.7M to $100MOct 2, 2023 to Mar 29, 2024
Signals
2 dated events
- C••••••• W••••• M••••••••• I••• reported RAUM $589.5M, up 33% from $444.2M (2021-03-29 to 2022-03-25)Mar 25, 2022 · RAUM change · derived
- C••••••• W••••• M••••••••• I••• reported RAUM $444.2M, up 37% from $323.3M (2020-06-12 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
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
- 910-215-0162reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 252-439-1344reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 866-295-6986reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/carolina-wealth-management-inc-reportedpublic record, Form ADV, Sep 18, 2026
- Website
- MYC•••••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 252-439-1344reportedpublic record, Form ADV, Apr 27, 2026
- Team page
- m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $99.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026