Carolina Strategy provides financial planning, portfolio management for individuals and small businesses, and pension consulting. Financial planning was provided to 26–50 clients last fiscal year.
Carolina Strategy reports 64 clients. They include 42 high-net-worth individuals, 21 individual clients and 1 charitable organization. Of its assets, 100.0% ($119M across 182 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 33% | 5% |
| High-net-worth individuals | 66% | 95% |
| Charitable organizations | 2% | <1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 21 | $5.96M | 5.0% | $284K |
| High-net-worth individuals | 42 | $113M | 94.9% | $2.69M |
| Charitable organizations | Fewer than 5 | $57.4K | 0.0% | $57.4K |
| Total | 64 | $119M | 100% | — |
- Clients
- 21
- Regulatory AUM
- $5.96M
- AUM share
- 5.0%
- Avg. per client
- $284K
- Clients
- 42
- Regulatory AUM
- $113M
- AUM share
- 94.9%
- Avg. per client
- $2.69M
- Clients
- Fewer than 5
- Regulatory AUM
- $57.4K
- AUM share
- 0.0%
- Avg. per client
- $57.4K
Total
- Clients
- 64
- Regulatory AUM
- $119M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 26–50
Carolina Strategy charges 0.50%–0.75% a year for its Portfolio Management Fees. The fee is billed in advance and is negotiable. The brochure also prices 2 other services, listed under fee details.
Fee details and sources
Other fees
- Financial Planning
- Fixed financial planning fee negotiated between $500 and $5,000, paid in arrears upon completion.
- Pension Consulting Services
- Asset-based pension consulting fee of 0.50% of all assets, withdrawn quarterly and paid in arrears.
Walker Davidson owns 75% or more of Carolina Strategy. The leadership team of Carolina Strategy includes Chief Compliance Officer Walker Davidson. It has 1 employee.
Staff
- 1 employee
- 1 in advisory functions
- 1 state-registered rep
- 1 insurance agent
- Owns 75% or more of Carolina Strategy, LLC
Walker Davidson
Control person · since December 2022
Carolina Strategy’s regulatory assets grew from $112M (February 2025) to $119M (January 2026); clients rose from 59 to 64 and employees were 1 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Jan 2026January 2026 | $119M | 64 | 1 | 1 |
| Feb 2025February 2025 | $112M | 59 | 1 | 2 |
Besides its headquarters, Carolina Strategy has 0 offices, with 1 listed address with no US state reported.
Contact and registration details
- Legal name
- Carolina Strategy, LLC
- Headquarters
- Not reported
- Website
- Not reported
- Phone
- 980-269-9899
- SEC file
- 801-132032
- Structure
- North Carolina LLC
- Fiscal year end
- December
Carolina Strategy’s named custodian for separately managed accounts is Charles Schwab ($119M). Carolina Strategy does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $119M100%
At year end, Carolina Strategy’s separately managed accounts were largely in stocks (42%) and bonds (39%).
What the accounts hold
- Stocks42%
- Funds18%
- Bonds39%
- U.S. government and agency bonds38%
- Investment grade corporate bonds1%
- Cash1%
How many clients does Carolina Strategy have?
Carolina Strategy has 64 clients and manages $119 million for them, as of January 2026. They include 42 high-net-worth individuals, 21 individual clients and 1 charitable organization.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 8 January 2026
What services does Carolina Strategy offer?
Carolina Strategy provides financial planning, portfolio management for individuals and small businesses, and pension consulting.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Carolina Strategy charge?
Carolina Strategy charges 0.50%–0.75% a year for its Portfolio Management Fees. The fee is billed in advance and is negotiable.
Source: FORM ADV PART 2A- CAROLINA STRATEGY, LLC, filed 8 January 2026
Which custodians does Carolina Strategy use?
Carolina Strategy’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $119M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 8 January 2026
How many financial advisors does Carolina Strategy have?
Carolina Strategy has 1 investment adviser representative registered with state securities authorities, out of 1 employees, and 1 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Carolina Strategy invest in?
At the end of its last fiscal year, Carolina Strategy’s separately managed accounts held 42% exchange-traded equities, 38% U.S. government and agency bonds, 18% registered funds (mutual funds, ETFs, BDCs), 1% investment grade corporate bonds and 1% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Carolina Strategy?
Carolina Strategy’s direct owner is Walker Davidson (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 8 January 2026
How does Carolina Strategy get paid?
Carolina Strategy is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Carolina Strategy?
Its phone number is 980-269-9899.