# Carolina Strategy, LLC

> Carolina Strategy, LLC is an SEC-registered investment advisory firm, registered since 2025, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated January 8, 2026.

- CRD: 324629
- Filed as: CAROLINA STRATEGY, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Filing period: October 2026
- Form ADV filing dated: January 8, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/324629
- AdvisorCensus page: https://advisorcensus.com/firm/carolina-strategy-llc-324629

## Quick answers

**How is Carolina Strategy, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Carolina Strategy, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees).

**How much does Carolina Strategy, LLC charge?**
Its Form ADV Part 2A brochure dated January 8, 2026 states: Flat fee: $500 to $5,000 (Financial Planning Services). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Is Carolina Strategy, LLC registered with the SEC or a state?**
Carolina Strategy, LLC is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 324629.

**How much does Carolina Strategy, LLC manage?**
Carolina Strategy, LLC reports $119,089,787 in regulatory assets under management in its Form ADV filing dated January 8, 2026 (100% discretionary).

**How have Carolina Strategy, LLC's assets and staff changed since 2025?**
In the Form ADV data for Carolina Strategy, LLC: Regulatory assets under management: $111,821,299 in the October 2025 data and $119,089,787 in the October 2026 data, up 7%. Total employees: 1 in October 2025 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Carolina Strategy, LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (42); individuals (other than high net worth individuals) (21); charitable organizations (1).

**Which custodians does Carolina Strategy, LLC use?**
Carolina Strategy, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Carolina Strategy, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/324629

**Does Carolina Strategy, LLC state an account minimum?**
Its Form ADV Part 2A brochure dated January 8, 2026 says: "There is no account minimum for any of CSLLC’s services."

**What changed in Carolina Strategy, LLC's recent Form ADV filings?**
In the January 2026 filing data: No longer registered or notice-filed in SC.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated January 8, 2026)

- Account minimum: None

> There is no account minimum for any of CSLLC’s services.

- Flat fee: $500 to $5,000 (Financial Planning Services)

> The negotiated fixed fee for these services is between $500 and $5,000.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $119,089,787
- Discretionary: $119,089,787
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 21 | $5,958,660 |
| High net worth individuals | 42 | $113,073,732 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 1 | $57,395 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services

### Firm details
- Registered since: 2025 (1 year)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NC
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- carolinastrategy.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2025 | $111,821,299 | 1 | February 18, 2025 |
| October 2026 | $119,089,787 | 1 | January 8, 2026 |

Regulatory assets under management: $111,821,299 in the October 2025 data and $119,089,787 in the October 2026 data, up 7%.
Total employees: 1 in October 2025 and 1 in October 2026.

## Changes in the filing (last 12 months)

### January 2026
- No longer registered or notice-filed in SC.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Carolina Strategy, LLC (CRD 324629): Form ADV filing data as of October 2026.