{
  "crd_number": 311180,
  "slug": "carroll-investors-inc-mt-pleasant-sc-311180",
  "primary_business_name": "CARROLL INVESTORS, INC.",
  "legal_name": "CARROLL INVESTORS, INC.",
  "dbas": [],
  "city": "Mt Pleasant",
  "state": "SC",
  "country": "United States",
  "cbsa_code": "16700",
  "metro": {
    "cbsa_code": "16700",
    "common_name": "Charleston",
    "msa_name": "Charleston-North Charleston, SC",
    "path": "/advisors/sc/charleston"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2020-11-30",
  "years_registered": 5,
  "period": "2026-10-01",
  "filing_date": "2026-03-19",
  "carried_forward": false,
  "raum_total": 221449186.0,
  "raum_discretionary": 221449186.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 3,
  "advisory_employees": 2,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 12872968.0,
      "count": 40
    },
    "high_net_worth_individuals": {
      "raum": 208576218.0,
      "count": 48
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "NC",
    "NY",
    "SC",
    "TX"
  ],
  "websites": [],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/311180",
  "city_as_filed": "MT PLEASANT",
  "url": "https://advisorcensus.com/firm/carroll-investors-inc-mt-pleasant-sc-311180",
  "display_name": "Carroll Investors, Inc.",
  "summary": "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.",
  "citation": "AdvisorCensus. Carroll Investors, Inc. (CRD 311180): 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"
  ],
  "quick_answers": [
    {
      "q": "How is Carroll Investors, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Carroll Investors, Inc. reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "How much does Carroll Investors, Inc. charge?",
      "a": "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."
    },
    {
      "q": "Where is Carroll Investors, Inc. located?",
      "a": "Carroll Investors, Inc.'s principal office is in Mt Pleasant, SC, according to its Form ADV."
    },
    {
      "q": "Is Carroll Investors, Inc. registered with the SEC or a state?",
      "a": "Carroll Investors, Inc. is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 311180."
    },
    {
      "q": "How much does Carroll Investors, Inc. manage?",
      "a": "Carroll Investors, Inc. reports $221,449,186 in regulatory assets under management in its Form ADV filing dated March 19, 2026 (100% discretionary)."
    },
    {
      "q": "How have Carroll Investors, Inc.'s assets and staff changed since 2021?",
      "a": "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."
    },
    {
      "q": "What types of clients does Carroll Investors, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (48); individuals (other than high net worth individuals) (40)."
    },
    {
      "q": "Which custodians does Carroll Investors, Inc. use?",
      "a": "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."
    },
    {
      "q": "Does Carroll Investors, Inc. 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/311180"
    },
    {
      "q": "What changed in Carroll Investors, Inc.'s recent Form ADV filings?",
      "a": "In the April 2026 filing data: Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 190000000.0,
      "total_employees": 2,
      "filing_date": "2021-06-02"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 188011859.0,
      "total_employees": 3,
      "filing_date": "2022-09-13"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 102908170.0,
      "total_employees": 3,
      "filing_date": "2023-03-30"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 150351147.0,
      "total_employees": 3,
      "filing_date": "2024-03-10"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 213328684.0,
      "total_employees": 3,
      "filing_date": "2025-03-19"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 221449186.0,
      "total_employees": 3,
      "filing_date": "2026-03-19"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "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": "1% to 3% a year",
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: 1% to 3% a year (a range, as the brochure states it)"
        ],
        "quotes": [
          "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."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": [
        1.0,
        3.0
      ],
      "max_pct": null,
      "account_minimum": null,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "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."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Raymond James & Associates, Inc.",
      "name_as_filed": "RAYMOND JAMES & ASSOCIATES, INC.",
      "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/carroll-investors-inc-mt-pleasant-sc-311180.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 40,
      "fewer_than_5": false,
      "raum": 12872968.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 48,
      "fewer_than_5": false,
      "raum": 208576218.0
    }
  ],
  "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/311180",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}