{
  "crd_number": 309148,
  "slug": "carrick-lane-llc-new-york-ny-309148",
  "primary_business_name": "CARRICK LANE LLC",
  "legal_name": "CARRICK LANE LLC",
  "dbas": [],
  "city": "New York",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2021-03-09",
  "years_registered": 5,
  "period": "2026-10-01",
  "filing_date": "2026-03-19",
  "carried_forward": false,
  "raum_total": 3029750000.0,
  "raum_discretionary": 3029750000.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 6,
  "advisory_employees": 6,
  "client_count_bucket": null,
  "clients_by_type": {
    "other_investment_advisers": {
      "raum": 825160000.0,
      "count": 11
    },
    "high_net_worth_individuals": {
      "raum": 2204590000.0,
      "count": 645
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 0,
  "states_registered": [
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "IL",
    "IN",
    "KY",
    "LA",
    "MA",
    "MD",
    "MI",
    "MO",
    "NC",
    "NE",
    "NH",
    "NJ",
    "NV",
    "NY",
    "OH",
    "OK",
    "PA",
    "RI",
    "SC",
    "TN",
    "TX",
    "VA",
    "VI",
    "WA"
  ],
  "websites": [
    "https://carricklane.com",
    "https://linkedin.com/company/carricklanellc"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/309148",
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/carrick-lane-llc-new-york-ny-309148",
  "display_name": "Carrick Lane LLC",
  "summary": "Carrick Lane LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2021, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 19, 2026.",
  "citation": "AdvisorCensus. Carrick Lane LLC (CRD 309148): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients"
  ],
  "quick_answers": [
    {
      "q": "How is Carrick Lane LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Carrick Lane LLC reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "How much does Carrick Lane LLC charge?",
      "a": "Its Form ADV Part 2A brochure dated March 19, 2026 states: Asset-based fee: 0.25% to 0.85% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Carrick Lane LLC located?",
      "a": "Carrick Lane LLC's principal office is in New York, NY, according to its Form ADV."
    },
    {
      "q": "Is Carrick Lane LLC registered with the SEC or a state?",
      "a": "Carrick Lane LLC is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 309148."
    },
    {
      "q": "How much does Carrick Lane LLC manage?",
      "a": "Carrick Lane LLC reports $3,029,750,000 in regulatory assets under management in its Form ADV filing dated March 19, 2026 (100% discretionary)."
    },
    {
      "q": "How have Carrick Lane LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Carrick Lane LLC: Regulatory assets under management: $158,648,000 in the October 2021 data and $3,029,750,000 in the October 2026 data, up 1810%. Total employees: 6 in October 2021 and 6 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Carrick Lane LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (645); other investment advisers (11)."
    },
    {
      "q": "Which custodians does Carrick Lane LLC use?",
      "a": "Carrick Lane LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Fidelity Brokerage Services LLC as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Carrick Lane LLC report any disciplinary disclosures?",
      "a": "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/309148"
    },
    {
      "q": "Does Carrick Lane LLC state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 19, 2026 says: \"Generally, the minimum mandate size for the Adviser’s Clients is $1,000,000. However, the Adviser has the discretion to accept lesser amounts.\""
    },
    {
      "q": "What changed in Carrick Lane LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 5 to 6. Regulatory assets under management went from $2,384,425,000 to $3,029,750,000 (+27%). Registered or notice-filed in VI. Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 158648000.0,
      "total_employees": 6,
      "filing_date": "2021-07-01"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 356328750.0,
      "total_employees": 6,
      "filing_date": "2022-07-11"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 554810625.0,
      "total_employees": 5,
      "filing_date": "2023-08-11"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 1439869000.0,
      "total_employees": 5,
      "filing_date": "2024-09-27"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 2384425000.0,
      "total_employees": 5,
      "filing_date": "2025-03-25"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 3029750000.0,
      "total_employees": 6,
      "filing_date": "2026-03-19"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 5 to 6.",
        "Regulatory assets under management went from $2,384,425,000 to $3,029,750,000 (+27%).",
        "Registered or notice-filed in VI.",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 19, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": "0.25% to 0.85% a year",
    "stated_maximum": null,
    "account_minimum": "$1,000,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: 0.25% to 0.85% a year (a range, as the brochure states it)"
        ],
        "quotes": [
          "Generally, the Adviser charges its Clients a Management Fee ranging from 0.25% to 0.85% annually."
        ]
      },
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $1,000,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "Generally, the minimum mandate size for the Adviser’s Clients is $1,000,000. However, the Adviser has the discretion to accept lesser amounts."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": [
        0.25,
        0.85
      ],
      "max_pct": null,
      "account_minimum": 1000000.0,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "Generally, the Adviser charges its Clients a Management Fee ranging from 0.25% to 0.85% annually.",
      "Generally, the minimum mandate size for the Adviser’s Clients is $1,000,000. However, the Adviser has the discretion to accept lesser amounts."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    },
    {
      "name": "Fidelity Brokerage Services LLC",
      "name_as_filed": "FIDELITY BROKERAGE SERVICES LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "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.",
  "markdown_url": "https://advisorcensus.com/firm/carrick-lane-llc-new-york-ny-309148.md",
  "clients": [
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 645,
      "fewer_than_5": false,
      "raum": 2204590000.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 11,
      "fewer_than_5": false,
      "raum": 825160000.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/309148",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}