CAROLINA FINANCIAL ADVISORS, INC.
Adviser information for CAROLINA FINANCIAL ADVISORS, INC. last updated from Form ADV on March 12th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | North Carolina, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 393 | $159.2M |
| Non-Discretionary | 7 | $15.7M |
| Total | 400 | $175.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 358 | $87.3M |
| HNW Individuals | 34 | $71.7M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 7 | $15.7M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $232,733 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 6 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersMarket timing servicesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Insurance broker or agentAccountant or accounting firm |
Identifiers
| SEC RIA File Number | 801-120773 |
|---|---|
| SEC ERA File Number | 801-120773 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 118823 |
| Legal Entity Identifier | None |
Principal Office
100 EAST LAKE DR.SUITE 100
GREENSBORO
NC
United States
Monday - Friday, 9 AM TO 5 PM EST
Tel: 336-333-0176, Fax: 336-355-9027
Websites
Chief Compliance Officer
JESSICA ANN NEISLER
CHIEF COMPLIANCE OFFICER
100 E LAKE DR
GREENSBORO
NC
United States
Tel:
336-333-0176
Fax:
336-355-9027
J******@****************************M
(Full email address available in API data)
Regulatory Contact
CHRISTOPHER JONES
PRESIDENT
100 EAST LAKE DRIVE, SUITE 100
GREENSBORO
NC
United States
Tel:
336-333-0176
Fax:
336-355-9027
C*********@****************************M
(Full email address available in API data)
Industry Affiliates
| BELK & ASSOCIATES DBA BELK FINANCIAL GROUP | Insurance company or agency |
| KINGDOM VISION FINANCIAL, INC. DBA DRIES POLAND INSURANCE | Insurance company or agency |
| SHEETS SMITH WEALTH MANAGEMENT | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| JONES, CHRISTOPHER, WICK | Individual | – | PRESIDENT | 04/2000 | > 75% |
| NEISLER, JESSICA, ANN | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2021 | < 5% |