Carolina Wealth Strategies, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
The firm serves individual investors — including both non-high-net-worth and high-net-worth clients — and small businesses, providing financial planning, investment supervisory services, and periodic educational workshops. It conducts both broad-based and modular financial planning and can advise on cash flow, retirement, tax and estate considerations, as well as recommend and monitor investment portfolios.
Carolina Wealth Strategies employs a mix of passive (Modern Portfolio Theory) and active asset-management approaches, typically managing client accounts on a discretionary basis with written investment guidelines, periodic monitoring, and rebalancing. The firm delivers planning on an hourly basis while also implementing advice through asset‑based portfolio management and a wrap-fee program for eligible accounts.
Distinctive for a firm of its size, it operates as a solo practitioner practice, combining hourly financial planning, percentage‑of‑AUM portfolio management, a sponsored wrap-fee program, and regular client seminars. The firm manages roughly $39 million for about 135 clients, does not act as a private-fund adviser, and custodial relationships are handled through third‑party custodians rather than the firm taking direct custody.
Client services
Expertise
Fee options
$0 - $249,999: 1.25% annually $250,000 - $499,999: 1.10% annually $500,000 - $999,999: 1.00% annually $1,000,000+: 0.50% annually
$250 per hour
Account minimum: $50,000
Main office
2500 Regency Parkway
Cary NC 27518
Advisors at this office
1
Most active in
North Carolina
Also doing business as
Bass Iii, Allen James · Carolina Wealth Strategies · Carolina Wealth Strategies, LLC
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Not sure where to start?
We'll help you think it through—whether you ultimately need an advisor or not. Warmer helps you compare advisors clearly, so you can choose with confidence.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Advisors are independent and may not have reviewed or updated this information. Please review an advisor's Form ADV and do your own diligence before deciding whether to work with them.
Advisor matching and referrals are provided by FinanceHQ LLC ("FHQ"), a wholly-owned subsidiary of Warmer and an SEC-registered investment adviser. We may be compensated by participating advisors. You pay no fee to use our matching service, and advisor fees are not increased because of a referral. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
By using our service, you agree to the Warmer Terms of Service and FHQ Advisory Agreement, and acknowledge Warmer's Privacy Policy. Please review FHQ's ADV Part 2A and Form CRS. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. ("Warmer")