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INTERCAROLINA FINANCIAL SERVICES, INC.
CRD 19475File 801-121339
APPROVED
Retail clients
Disclosure events
Filing as of Sep 30, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$85.4M
Bottom 25% of cohort (national)
Discretionary AUM
$10.9M
Non-discretionary $74.5M
Clients
271
271 accounts
Employees
29
Bottom 25% of cohort in NC
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- ARO
- Registration date
- May 28, 2021
- Principal office
- 3300 BATTLEGROUND AVENUE, SUITE 202, GREENSBORO, NC, 27410
- Phone
- 336-288-6890
- Website
- HTTP://WWW.INTERCAROLINA.NET
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $85.4M
- Discretionary AUM
- $10.9M
- Non-discretionary AUM
- $74.5M
- Discretionary accounts
- 46
- Non-discretionary accounts
- 225
- Total accounts
- 271
- AUM per client
- $315K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 13 | $10.9M |
| Individuals (other than high net worth individuals) | 258 | $74.5M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
- Q11E2
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| May 1, 2026 | Employees | 14 | 29 | increased by15 |
| May 1, 2026 | Clients | 381 | 271 | decreased by110 |
| May 1, 2026 | AUM | $130,750,464 | $85,370,900 | decreased by$45,379,564 |
| May 1, 2026 | Accounts | 381 | 271 | decreased by110 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 13 | 14 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Custody | Yes | No | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 236 | 381 | increased by145 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $112,267,206 | $130,750,464 | increased by$18,483,258 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 236 | 381 | increased by145 |
| Apr 1, 2022 | Employees | 11 | 13 | increased by2 |
| Apr 1, 2022 | Clients | 196 | 236 | increased by40 |
| Apr 1, 2022 | AUM | $105,429,861 | $112,267,206 | increased by$6,837,345 |
| Apr 1, 2022 | Accounts | 196 | 236 | increased by40 |
| Jul 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “INTERCAROLINA FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“INTERCAROLINA FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.