Carolina Financial Advisors, Inc.
- Regulatory AUM
- $241M
- Discretionary
- $223M
- Clients
- 474
- Avg AUM / client
- $508K
- Accounts
- 1,226
- Employees
- 7
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of May 27, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 427 | $122M | 50.5% |
| High net worth individuals | 46 | $119M | 49.4% |
| Corporations and other businesses | 1 | $261K | 0.11% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Christopher Wick Jones | President | CFP | Apr 2000 (26y) | 75% or more |
| Neisler, Jessica, Ann | Chief Compliance Officer | Jun 2021 (5y) | Less than 5% | |
| William Scott Poland | Registered representative | CFP | Jul 2017 (9y) | |
| David Leonard Belk | Registered representative | CFP | Jul 2020 (6y) | |
| Patrick Halton Williford | Registered representative | Mar 2024 (2y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/27/2026 | 1.09 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Publication of periodicals or newsletters
- • Market timing services
- • Educational seminars/workshops
Custody
Reported custodians
- Fidelity Brokerage Services $113M (47% of AUM) May 2026
- Charles Schwab & Co. $109M (45% of AUM) May 2026
- National Financial Services (Fidelity) $46.9M (23% of AUM) Jan 2023
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 27, 2026.
View current Form ADV (SEC/IAPD) ↗