INTERCAROLINA FINANCIAL SERVICES, INC.
Adviser information for INTERCAROLINA FINANCIAL SERVICES, INC. last updated from Form ADV on March 22nd, 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 | 14 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 11 |
| Registered State Investment Advisers | 10 |
| Licensed Agents of an Insurance Company | 4 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 45 | $105.8M |
| Non-Discretionary | 319 | $23.8M |
| Total | 364 | $129.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 228 | $49.9M |
| HNW Individuals | 15 | $14.9M |
| 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 | 121 | $64.9M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 364 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)PORTFOLIO MANAGEMENT FOR PENSION, 401 (K), 403 (B), MEP PLANS & PEP PLANS |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 0 |
Identifiers
| SEC RIA File Number | 801-121339 |
|---|---|
| SEC ERA File Number | 801-121339 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 19475 |
| Legal Entity Identifier | None |
Principal Office
3300 BATTLEGROUND AVENUESUITE 202
GREENSBORO
NC
United States
Monday - Friday, 9:00A.M.TO 5:00P.M.
Tel: 336-288-6890, Fax: 336-545-1971
Websites
Chief Compliance Officer
JOE NAVOLANIC
3300 BATTELEGROUND AVE.
SUITE 202
GREENSBORO
NC
United States
Tel:
336-288-6890
Fax:
336-545-1971
J**************@****************T
(Full email address available in API data)
Regulatory Contact
MARCUS KINDLEY
CEO
3300 BATTLEGROUND AVE. ST. 400
SUITE 202
GREENSBORO
NC
United States
Tel:
336-288-6890
Fax:
336-545-1970
M*********@**********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NAVOLANIC, JOSEPH EUGENE | Individual | – | PRESIDENT/FIN OP | 09/1987 | 50-75% |
| KINDLEY, MARCUS DALE | Individual | – | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 07/1987 | 25-50% |