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.

Former SEC-registered adviser

Carolinas Wealth Consulting LLC

Former SEC-registered adviserCharlotte, North CarolinaCRD 300003SEC 801-60158websiteIAPD
Latest filing Mar 26, 2025
First filing on the tape May 10, 2019 · 14 filings
SEC status approved since Apr 17, 2001
RAUM
$1.5B
reported, Item 5.F
Discretionary
78%
of RAUM
Private clients
89%
$1.3B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$1.5B as of Mar 26, 2025
Mar 30, 2020$1.5B then
HNW client RAUM$1.2B as of Mar 26, 2025
Mar 30, 2020$1.3B then
State-registered IARs (5.B.3)14 as of Mar 26, 2025
Mar 30, 202014 then
Employees (5.A)17 as of Mar 26, 2025
Mar 30, 202020 then
Private funds: no history
RAUM +8.7% over the last fiscal year-4.0% a year over threeIARs 14 to 14
Practice profile
derived from the filing of Mar 26, 2025; every figure names its basis
RAUM per advisor
$104MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
45derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.0MderivedHNW RAUM over HNW clients
Average account
$644,656derivedRAUM over accounts (5.F.2.f)
Discretionary
78%derivedof RAUM
Institutional
1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
14.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+8.7%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+17%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Wrap fee program
$1.3BreportedItem 5.I
Custody
$836M, 484 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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$1.2B85%
  • Corporations and businesses$131M9.1%
  • Individuals$69.7M4.8%
  • Charitable organizations$13.8M0.9%
  • Pension and profit-sharing plans$9.6M0.7%
Individual clients
388reported
HNW clients
246reported
Pension plan clients
n/areported
Charitable clients
7reported
Accounts
2,252reported
Financial planning clients
101-250reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$836M for 484 clientsreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Harrell George Edmiston · Ceo, President, Managing Membercontrol
    since 05/2019 · owns 75% or more
  • Kelsey Jeanne Fritchley · Member, Chief Compliance Officer, Chief Operating Officercontrol
    since 05/2019 · owns less than 5%
  • Kevin Christopher Grogan · Member, Secretarycontrol
    since 05/2019 · owns less than 5%
Entity owners
  • Ncf Charitable Trust ("Nct") · Owner
    direct · owns 5% to 10%
  • Ncf Corporation · Sole Trustee Of Nct
    indirect · owns F of Ncf Charitable Trust ("Nct")
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Charlotte, Nc · principal000
Fort Mill, Sc000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 1,873 to 2,252
    Mar 5, 2025 to Mar 26, 2025
  • Advisory employees · 11 to 10
    Mar 5, 2025 to Mar 26, 2025
  • Charity clients · unset to 7.0
    Mar 5, 2025 to Mar 26, 2025
  • Corporate clients · 11 to 16
    Mar 5, 2025 to Mar 26, 2025
  • HNW clients · 284 to 246
    Mar 5, 2025 to Mar 26, 2025
  • Individual clients · 257 to 388
    Mar 5, 2025 to Mar 26, 2025
  • Assets in custody · $648M to $836M
    Mar 5, 2025 to Mar 26, 2025
  • Employees · 18 to 17
    Mar 5, 2025 to Mar 26, 2025
  • Insurance-licensed employees · 0 to 14
    Mar 5, 2025 to Mar 26, 2025
  • Discretionary RAUM · $1.0B to $1.1B
    Mar 5, 2025 to Mar 26, 2025
  • HNW RAUM · $1.1B to $1.2B
    Mar 5, 2025 to Mar 26, 2025
  • Individual RAUM · $85.8M to $69.7M
    Mar 5, 2025 to Mar 26, 2025
  • Non-discretionary RAUM · $304M to $313M
    Mar 5, 2025 to Mar 26, 2025
  • Pension RAUM · $11.7M to $9.6M
    Mar 5, 2025 to Mar 26, 2025
  • RAUM · $1.3B to $1.5B
    Mar 5, 2025 to Mar 26, 2025
  • Related adviser · false to true
    Mar 28, 2024 to Mar 5, 2025
  • Accounts · 2,547 to 1,873
    Oct 24, 2023 to Mar 28, 2024
  • Advisory employees · 18 to 11
    Oct 24, 2023 to Mar 28, 2024
  • BD registered reps · 16 to 11
    Oct 24, 2023 to Mar 28, 2024
  • Corporate clients · 8 to 11
    Oct 24, 2023 to Mar 28, 2024
  • HNW clients · 292 to 284
    Oct 24, 2023 to Mar 28, 2024
  • Individual clients · 331 to 257
    Oct 24, 2023 to Mar 28, 2024
  • Assets in custody · $688M to $648M
    Oct 24, 2023 to Mar 28, 2024
  • Employees · 20 to 18
    Oct 24, 2023 to Mar 28, 2024
  • Financial planning clients · 251-500 to 101-250
    Oct 24, 2023 to Mar 28, 2024
  • State-registered IARs · 18 to 14
    Oct 24, 2023 to Mar 28, 2024
  • Discretionary RAUM · $1.1B to $1.0B
    Oct 24, 2023 to Mar 28, 2024
  • HNW RAUM · $1.2B to $1.1B
    Oct 24, 2023 to Mar 28, 2024
  • Individual RAUM · $115M to $85.8M
    Oct 24, 2023 to Mar 28, 2024
  • Non-discretionary RAUM · $368M to $304M
    Oct 24, 2023 to Mar 28, 2024
  • Pension RAUM · $4.2M to $11.7M
    Oct 24, 2023 to Mar 28, 2024
  • RAUM · $1.4B to $1.3B
    Oct 24, 2023 to Mar 28, 2024
  • Related insurance company · true to false
    Mar 31, 2023 to Oct 24, 2023
  • Accounts · 2,526 to 2,547
    Nov 4, 2022 to Mar 31, 2023
  • Advisory employees · 16 to 18
    Nov 4, 2022 to Mar 31, 2023
  • BD registered reps · 14 to 16
    Nov 4, 2022 to Mar 31, 2023
  • HNW clients · 312 to 292
    Nov 4, 2022 to Mar 31, 2023
  • Individual clients · 215 to 331
    Nov 4, 2022 to Mar 31, 2023
  • Assets in custody · $740M to $688M
    Nov 4, 2022 to Mar 31, 2023
  • Financial planning clients · 101-250 to 251-500
    Nov 4, 2022 to Mar 31, 2023
Signals
23 dated events
  • Carolinas Wealth Consulting Llc no longer on the SEC adviser roster (last listed 2025-07-01, RAUM $1.5B)
    Aug 1, 2025 · Left the SEC roster · derived
  • Audrey Blanke left Carolinas Wealth Consulting Llc for Captrust (registered 2025-03-05)
    Jul 14, 2025 · Advisor changed firm · fact
  • Jeanne Kelsey Fritchley left Carolinas Wealth Consulting Llc for Captrust (registered 2025-03-05)
    Jul 14, 2025 · Advisor changed firm · fact
  • Lyle Conner Mutter left Carolinas Wealth Consulting Llc for Captrust (registered 2025-03-05)
    Jul 14, 2025 · Advisor changed firm · fact
  • Molly Mahaffey Peecher left Carolinas Wealth Consulting Llc for Captrust (registered 2025-03-05)
    Jul 14, 2025 · Advisor changed firm · fact
  • Richard Wade Austin left Carolinas Wealth Consulting Llc for Captrust (registered 2025-03-05)
    Jul 14, 2025 · Advisor changed firm · fact
  • Lyric Boyette Martin left Carolinas Wealth Consulting Llc for Captrust (registered 2025-03-05)
    Jul 14, 2025 · Advisor changed firm · fact
  • Bridget Mcdermott left Carolinas Wealth Consulting Llc for Captrust (registered 2025-03-05)
    Jul 14, 2025 · Advisor changed firm · fact
  • Steven Andrew Shak left Carolinas Wealth Consulting Llc for Captrust (registered 2025-03-05)
    Jul 14, 2025 · Advisor changed firm · fact
  • Gregory Prince left Carolinas Wealth Consulting Llc for Captrust (registered 2025-03-05)
    Jul 14, 2025 · Advisor changed firm · fact
  • George Harrell Edmiston left Carolinas Wealth Consulting Llc for Captrust (registered 2025-03-05)
    Jul 14, 2025 · Advisor changed firm · fact
  • Carolinas Wealth Consulting LLC's advisors moved to Captrust (Charlotte, NC): 10 of 10 registered, on the same day
    Jul 14, 2025 · Firm absorbed (people side) · derived
  • Nargiz Kambarova left Carolinas Wealth Consulting Llc for Captrust (registered 2025-06-24)
    Jun 20, 2025 · Advisor changed firm · fact
  • Christopher Kevin Grogan left Carolinas Wealth Consulting Llc for Captrust (registered 2025-03-05)
    Jun 20, 2025 · Advisor changed firm · fact
  • Virginia Brake left Carolinas Wealth Consulting Llc for Captrust (registered 2025-03-05)
    Apr 28, 2025 · Advisor changed firm · fact
  • Robert Russell Shaw left Carolinas Wealth Consulting Llc for 7Pw Wealth, Llc (registered 2025-02-25)
    Feb 7, 2025 · Advisor changed firm · fact
  • Walker Thomas Shelton left Carolinas Wealth Consulting Llc for Verum Partners Llc (registered 2023-08-15)
    Aug 16, 2023 · Advisor changed firm · fact
  • David Allen Perkins left Carolinas Wealth Consulting Llc for Verum Partners Llc (registered 2023-08-15)
    Aug 16, 2023 · Advisor changed firm · fact
  • Justin Louis left Carolinas Wealth Consulting Llc for Verum Partners Llc (registered 2023-08-15)
    Aug 16, 2023 · Advisor changed firm · fact
  • 3 advisors left Carolinas Wealth Consulting LLC (Charlotte, NC) for Verum Partners LLC on the same day
    Aug 16, 2023 · Team lift-out · derived
  • Safiya Rann Upchurch left Carolinas Wealth Consulting Llc for Raymond James & Associates, Inc. (registered 2022-10-25)
    Oct 27, 2022 · Advisor changed firm · fact
  • Maureen Therese Henry left Carolinas Wealth Consulting Llc for Ameriprise Financial Services, Llc (registered 2022-02-01)
    Feb 4, 2022 · Advisor changed firm · fact
  • Carolinas Wealth Consulting Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
    May 10, 2019 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026