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CAROLINA WEALTH MANAGEMENT, INC.

GREENVILLE, NC · CRD 131393 · IAPD ↗ · mycarolinawealth.com · 252-439-1344

$798.5MRegulatory AUM
8Advisory reps
10Employees
0Clients
11-25Planning clients
0Private funds
7States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
April 2026 — CAROLINA WEALTH MANAGEMENT, INC. notice-filed in NY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
68
April 2026 — CAROLINA WEALTH MANAGEMENT, INC. now reports custody of client assets ($160.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
61
April 2025 — CAROLINA WEALTH MANAGEMENT, INC. reports 11-25 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.