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.
SEC-registered adviser
Intercarolina Financial Services, Inc.
Latest filing Sep 16, 2026
First filing on the tape Mar 10, 2020 · 28 filings
SEC status approved since May 28, 2021
RAUM
$85.4M
reported, Item 5.F
Discretionary
13%
of RAUM
Private clients
100%
$85.4M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$7.1M
derived; firm RAUM over IAPD count
Employees
29
9 advisory (5.B.1)
Offices
9
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$85.4M as of Apr 30, 2026
Mar 23, 2022$112M then
HNW client RAUM$10.9M as of Apr 30, 2026
Mar 23, 2022$17.2M then
State-registered IARs (5.B.3)9 as of Apr 30, 2026
Mar 23, 202213 then
Employees (5.A)29 as of Apr 30, 2026
Mar 23, 202213 then
Private funds: no history
RAUM -35% over the last fiscal year-5.3% a year over threeIARs 10 to 9offices 8 to 9
Practice profile
derived from the filing of Sep 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $7.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 23derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $836,992derivedHNW RAUM over HNW clients
- Average account
- $315,022derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 13%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.4derivedItem 5.A over advisors
- Advisors per office
- 1.2derived10 offices incl. principal (1.F.5)
- RAUM growth, one year
- -35%derivedbetween the last two annual amendments
- Advisor growth, one year
- -10%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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 a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$74.5M87%
- High-net-worth individuals$10.9M13%
- Individual clients
- 258reported
- HNW clients
- 13reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 271reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=29.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Lynn Franklin Irvin | Concord, Nc | Dec 31, 2001 | 39 y | 0 |
| Diana Sue Thomason | Greensboro, Nc | Oct 4, 2010 | 20 y | 2 |
| James Gregory Cordell | Chapel Hill, Nc | Dec 8, 2010 | 34 y | 2 |
| Adamson Wayne Wright | Greensboro, Nc | Aug 23, 2011 | 30 y | 2 |
| George Harold Hartzman | Greensboro, Nc | Nov 16, 2012 | 33 y | 2 |
| Marcus Dale Kindley | Clemmons, Nc | Mar 15, 2016 | 45 y | 0 |
| Vincent Craig Revels | Cary, Nc | Nov 1, 2016 | 22 y | 1 |
| Joseph Eugene Navolanic | Greensboro, Nc | Sep 19, 2017 | 44 y | 2 |
| Jeremy Michael Remily | Wahpeton, Nd | Nov 19, 2018 | 18 y | 3 |
| Anthony Blake Hinson | Oakboro, Nc | Aug 28, 2019 | 16 y | 1 |
| Clark Harris Weeks | Greensboro, Nc | Oct 2, 2025 | 21 y | 2 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 8.3% of current headcount1 left over 36 months
Left, latest
- Joseph Michael Meador to Cambridge Investment Research Advisors, Inc.Dec 5, 2025 · RIA to affiliated broker-dealer or bank
- Derrick Anthony Longo to Exencial Wealth AdvisorsNov 6, 2020 · RIA to RIA
- William Christian Bayles to UBS Financial Services Inc.Oct 27, 2020 · RIA to wirehouse
- William Holten Fields to Shadow Wealth Management, LLCDec 11, 2018 · RIA to a state-registered adviser
- Gregory William Schlaudecker to Adaptfirst Investments LLCMar 15, 2018 · RIA to a state-registered adviser
- Renee Penland Sorrell to Morgan StanleyJul 13, 2016 · RIA to wirehouse
- Stephen Wayne Gaskins to Davis Wealth ManagementApr 28, 2015 · Other
- Eugene Mcmillan Musselwhite to Osaic Fa, Inc.Feb 16, 2011 · Other
- Michael Todd Brown to Synergy Investment Group, LLCApr 11, 2006 · Other
Joined, latest
- Clark Harris Weeks from Dempsey Lord Smith, LLCOct 2, 2025 · RIA to RIA
- Anthony Blake Hinson from Avantax Advisory ServicesAug 28, 2019 · Affiliated broker-dealer or bank to independent RIA
- William Christian Bayles from Wells Fargo AdvisorsApr 17, 2019 · Wirehouse to independent RIA
- Jeremy Michael Remily from Capital Financial Services, Inc.Nov 19, 2018 · RIA to RIA
- William Holten Fields from Manning & Napier Advisors, LLCOct 26, 2017 · Other
- Joseph Eugene Navolanic from Fund Direct Advisors Inc.Sep 19, 2017 · Other
- Vincent Craig Revels from The Strategic Financial AllianceNov 1, 2016 · Other
- Derrick Anthony Longo from Wells Fargo AdvisorsNov 1, 2016 · Wirehouse to independent RIA
- John Andrew Shumski from Sb Advisory, LLCAug 4, 2015 · Other
- Renee Penland Sorrell from Davis Wealth ManagementAug 3, 2015 · Other
- Joseph Michael Meador from Pension Planning Solutions, Inc.Jun 19, 2015 · Other
- Stephen Wayne Gaskins from Old North State Wealth Management, LLCApr 7, 2015 · Other
- George Harold Hartzman from Wells Fargo AdvisorsNov 16, 2012 · Wirehouse to independent RIA
- Adamson Wayne Wright from Ameriprise Financial Services, LLCAug 23, 2011 · Affiliated broker-dealer or bank to independent RIA
- James Gregory Cordell from Morgan StanleyDec 8, 2010 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Marcus Dale Kindley · Chief Compliance Officer/Vice Presidentcontrolsince 07/1987 · owns 25% to 50%
- Joseph Eugene Navolanic · President/Fin Opcontrolsince 09/1987 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Greensboro, Nc · principal | 12 | 2 | 1 | ||
| Concord, Nc | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Huntersville, NC2 employees
- Cary, NC1 employees
- Chapel Hill, NC1 employees
- Concord, NC1 employees
- Little River, SC1 employees
- Murray, KY1 employees
- Oakboro, NC1 employees
- Greensboro, NC1 employees
- Wahpeton, ND1 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- institutional to wealth shiftCombination · filing Apr 30, 2026institutional share fell 15 points or more while private-client share rose 15 points or more. RAUM $130,750,464 to $85,370,900, advisors 10 to 9, private clients 271 to 271, offices 8 to 9 (2025-03-25 to 2026-04-30)peers: independent wealth managers, under $100M (704)
- client mix shiftChange between filings · filing Apr 30, 2026private-client share of RAUM moved from 71.0% to 100.0% between the annual amendments of 2025-03-25 and 2026-04-30peers: independent wealth managers, under $100M (704)
- employee count surgeChange between filings · filing Apr 30, 2026employees (Item 5.A) moved from 14.0 to 29.0 (+107.0%) between the annual amendments of 2025-03-25 and 2026-04-30; the peer median change was 0.0% (57 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, under $100M (57) · 96% percentile
- institutional asset share shiftChange between filings · filing Apr 30, 2026institutional share of RAUM moved from 29.0% to 0.0% between the annual amendments of 2025-03-25 and 2026-04-30peers: independent wealth managers, under $100M (704)
- RAUM down 25 %Change between filings · filing Apr 30, 2026RAUM (Item 5.F) moved from $130,750,464 to $85,370,900 (-35.0%) between the annual amendments of 2025-03-25 and 2026-04-30; the peer median change was +8.0% (219 comparable advisers, 9.0th percentile of changes)peers: independent wealth managers, under $100M (219) · 9.2% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Apr 30, 2026 to Sep 14, 2026
- Succession · false to unsetApr 30, 2026 to Sep 14, 2026
- Accounts · 381 to 271Mar 25, 2025 to Apr 30, 2026
- Advisory employees · 10 to 9Mar 25, 2025 to Apr 30, 2026
- Advisory activities · 4 to 1Mar 25, 2025 to Apr 30, 2026
- BD registered reps · 11 to 29Mar 25, 2025 to Apr 30, 2026
- HNW clients · 11 to 13Mar 25, 2025 to Apr 30, 2026
- Individual clients · 260 to 258Mar 25, 2025 to Apr 30, 2026
- Pension plan clients · 110.0 to unsetMar 25, 2025 to Apr 30, 2026
- Employees · 14 to 29Mar 25, 2025 to Apr 30, 2026
- State-registered IARs · 10 to 9Mar 25, 2025 to Apr 30, 2026
- Other offices · 8 to 9Mar 25, 2025 to Apr 30, 2026
- Discretionary RAUM · $10.5M to $10.9MMar 25, 2025 to Apr 30, 2026
- HNW RAUM · $6.4M to $10.9MMar 25, 2025 to Apr 30, 2026
- Individual RAUM · $86.1M to $74.5MMar 25, 2025 to Apr 30, 2026
- Non-discretionary RAUM · $120M to $74.5MMar 25, 2025 to Apr 30, 2026
- Pension RAUM · 38271968.0 to unsetMar 25, 2025 to Apr 30, 2026
- RAUM · $131M to $85.4MMar 25, 2025 to Apr 30, 2026
- Wrap assets (manager) · 0.0 to unsetMar 25, 2025 to Apr 30, 2026
- Wrap assets (sponsor) · 0.0 to unsetMar 25, 2025 to Apr 30, 2026
- Accounts · 364 to 381Mar 22, 2024 to Mar 25, 2025
- HNW clients · 15 to 11Mar 22, 2024 to Mar 25, 2025
- Individual clients · 228 to 260Mar 22, 2024 to Mar 25, 2025
- Pension plan clients · 121 to 110Mar 22, 2024 to Mar 25, 2025
- Assets in custody · 129656189.0 to unsetMar 22, 2024 to Mar 25, 2025
- Custody of client assets · true to falseMar 22, 2024 to Mar 25, 2025
- Financial planning clients · 0 to 0Mar 22, 2024 to Mar 25, 2025
- Other offices · 9 to 8Mar 22, 2024 to Mar 25, 2025
- Discretionary RAUM · $106M to $10.5MMar 22, 2024 to Mar 25, 2025
- HNW RAUM · $14.9M to $6.4MMar 22, 2024 to Mar 25, 2025
- Individual RAUM · $49.9M to $86.1MMar 22, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $23.8M to $120MMar 22, 2024 to Mar 25, 2025
- Pension RAUM · $64.9M to $38.3MMar 22, 2024 to Mar 25, 2025
- RAUM · $130M to $131MMar 22, 2024 to Mar 25, 2025
- Accounts · 254 to 364Jul 23, 2023 to Mar 22, 2024
- Advisory employees · 13 to 10Jul 23, 2023 to Mar 22, 2024
- BD registered reps · 13 to 11Jul 23, 2023 to Mar 22, 2024
- HNW clients · 9 to 15Jul 23, 2023 to Mar 22, 2024
- Individual clients · 147 to 228Jul 23, 2023 to Mar 22, 2024
- Pension plan clients · 98 to 121Jul 23, 2023 to Mar 22, 2024
Signals
4 dated events
- Joseph Michael Meador left Intercarolina Financial Services, Inc. for Cambridge Investment Research Advisors, Inc. (registered 2025-01-02)Dec 5, 2025 · Advisor changed firm · fact
- Jonathan Michael Leftwich no longer registered at Intercarolina Financial Services, Inc.; no later IA registration on IAPDFeb 29, 2024 · Advisor departure · fact
- Intercarolina Financial Services, Inc. reported 10 offices beyond its principal office, up from 5 (2022-03-23 to 2022-04-22)Apr 22, 2022 · Office count change · derived
- Intercarolina Financial Services, Inc. filed its initial SEC registration (Form ADV)Mar 10, 2020 · 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
- 336-288-6890reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- INTERCAROLINA.NETreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 336-288-6890reportedpublic record, Form ADV, Sep 16, 2026
- Contact form
- intercarolina.net/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- $7.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026