AdvisorCensus / Financial advisors / South Carolina / Charleston / Carroll Investors, Inc.
Carroll Investors, Inc.
Filed as CARROLL INVESTORS, INC.
Carroll Investors, Inc. is an SEC-registered investment advisory firm in Mt Pleasant, SC, registered since 2020, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 19, 2026.
Quick answers
From the filingHow is Carroll Investors, Inc. compensated?
On its Form ADV (Item 5.E, October 2026), Carroll Investors, Inc. reports these compensation arrangements: a percentage of assets under its management.
What does Carroll Investors, Inc.'s brochure say about its fees?
Its Form ADV Part 2A brochure dated March 19, 2026 states: Asset-based fee: 1% to 3% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is Carroll Investors, Inc. located?
Carroll Investors, Inc.'s principal office is in Mt Pleasant, SC, according to its Form ADV.
Is Carroll Investors, Inc. registered with the SEC or a state?
Carroll Investors, Inc. is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 311180.
How much does Carroll Investors, Inc. manage?
Carroll Investors, Inc. reports $221,449,186 in regulatory assets under management in its Form ADV filing dated March 19, 2026 (100% discretionary).
How have Carroll Investors, Inc.'s assets and staff changed since 2021?
In the Form ADV data for Carroll Investors, Inc.: Regulatory assets under management: $190,000,000 in the October 2021 data and $221,449,186 in the October 2026 data, up 17%. Total employees: 2 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Carroll Investors, Inc. serve?
By number of clients on Form ADV Item 5.D: high net worth individuals (48); individuals (other than high net worth individuals) (40).
Which custodians does Carroll Investors, Inc. use?
Carroll Investors, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Raymond James & Associates, Inc. as a custodian holding 10% or more of its separately managed account assets.
Does Carroll Investors, Inc. 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/311180
What changed in Carroll Investors, Inc.'s recent Form ADV filings?
In the April 2026 filing data: Updated its list of owners and control persons (Schedule A).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AAsset-based fee: 1% to 3% a year (a range, as the brochure states it)
The brochure's wording
Our annual fee for portfolio management services varies between 1.00% - 3.00% depending upon the market value of your assets under our management, the type and complexity of the asset management services provided, as well as the level of administration requested either directly or assumed by the client.
As stated in the firm's Form ADV Part 2A brochure dated March 19, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$221,449,186 as of October 2026, filing dated March 19, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for individuals and/or small businesses
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2020 (5 years)
- Employees
- Total: 3. Performing investment advisory functions: 2.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
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.
- States registered or notice-filed
-
4 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $221,449,186 | 3 | March 19, 2026 |
| October 2025 | $213,328,684 | 3 | March 19, 2025 |
| October 2024 | $150,351,147 | 3 | March 10, 2024 |
| October 2023 | $102,908,170 | 3 | March 30, 2023 |
| October 2022 | $188,011,859 | 3 | September 13, 2022 |
| October 2021 | $190,000,000 | 2 | June 2, 2021 |
Regulatory assets under management: $190,000,000 in the October 2021 data and $221,449,186 in the October 2026 data, up 17%.
Total employees: 2 in October 2021 and 3 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- April 2026
- Updated its list of owners and control persons (Schedule A).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.INot reported.
Source: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Carroll Investors, Inc. (CRD 311180): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/carroll-investors-inc-mt-pleasant-sc-311180