Carroll Investors provides portfolio management for individuals and small businesses.
Carroll Investors reports 88 clients. They include 48 high-net-worth individuals and 40 individual clients. Of its assets, 100.0% ($221M across 298 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 45% | 6% |
| High-net-worth individuals | 55% | 94% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 40 | $12.9M | 5.8% | $322K |
| High-net-worth individuals | 48 | $209M | 94.2% | $4.35M |
| Total | 88 | $221M | 100% | $2.52M |
- Clients
- 40
- Regulatory AUM
- $12.9M
- AUM share
- 5.8%
- Avg. per client
- $322K
- Clients
- 48
- Regulatory AUM
- $209M
- AUM share
- 94.2%
- Avg. per client
- $4.35M
Total
- Clients
- 88
- Regulatory AUM
- $221M
- AUM share
- 100%
- Avg. per client
- $2.52M
- 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
- 0
Carroll Investors charges 1.00%–3.00% a year for its Portfolio Management Services. The fee is billed in arrears and is negotiable.
Fee details and sources
Stephen Carroll owns 75% or more of Carroll Investors. The leadership team of Carroll Investors includes President Stephen Carroll and Chief Compliance Officer Maria Howe. It has 3 employees, 2 of them in advisory roles.
Leadership
- Stephen CarrollPresident/CEO
- Maria HoweChief Compliance Officer
Investment adviser representatives
2 representatives listed in the SEC register as of 9 October 2026.
Staff
- 3 employees
- 2 in advisory functions
- 2 state-registered reps
- Owns 75% or more of Carroll Investors, Inc.
Stephen Carroll
Control person · since September 2020
Carroll Investors’ regulatory assets grew from $190M (June 2021) to $221M (March 2026); clients were 88 in both filings and employees rose from 2 to 3.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $221M | 88 | 3 | 1 |
| March 2025 | $213M | 92 | 3 | 1 |
| March 2024 | $150M | 105 | 3 | 1 |
| March 2023 | $103M | 117 | 3 | 1 |
| March 2022 | $188M | 128 | 3 | 1 |
| June 2021 | $190M | 84 | 2 | 1 |
Besides its headquarters, Carroll Investors has 0 offices, with 1 listed address in South Carolina.
South Carolina · 1 listed address
- 1036 Lansing DR, Suite 102, MT PleasantHQ
Contact and registration details
- Legal name
- Carroll Investors, Inc.
- Headquarters
- 1036 Lansing DR, Suite 102, MT Pleasant, SC 29464
- Website
- Not reported
- Phone
- 843-352-4963
- SEC file
- 801-119870
- Founded
- 2021
- Structure
- South Carolina corporation
- Fiscal year end
- December
Carroll Investors uses Raymond James ($221M) as custodian for its separately managed accounts. Carroll Investors has custody of $45M in client assets for 8 clients.
- Raymond JamesRaymond James & Associates, Inc. · St. Petersburg, FL · $221M100%
At year end, Carroll Investors’ separately managed accounts were mostly in stocks (95%). Its reported 13F holdings for the quarter ended 30 June 2026 total $234M across 31 positions; the largest are Advanced Micro Devices Inc. (13.3%), Nvidia Corporation (11.9%) and Palantir Technologies Inc. (11.8%).
What the accounts hold
- Stocks95%
- Cash5%
Reported 13F holdings
- $234M
- Reported 13F value
- 31
- Positions
- 84.6%
- In the 10 largest
- +25.1%
- Value vs. prior quarter
- Advanced Micro Devices Inc.13.3%
- Nvidia Corporation11.9%
- Palantir Technologies Inc. · CL A11.8%
- Tesla Inc.10.8%
- Palo Alto Networks Inc.8.6%
- Vertiv Holdings CO · Com CL A6.7%
- Apple Inc.6.7%
- Snowflake Inc. · Com Shs6.6%
- Microsoft Corp.5.0%
- Costco Wholesale Corporation3.0%
Together, the ten largest are 84.6% of reported value.
How many clients does Carroll Investors have?
Carroll Investors has 88 clients and manages $221 million for them, as of March 2026. They include 48 high-net-worth individuals and 40 individual clients.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 19 March 2026
What services does Carroll Investors offer?
Carroll Investors provides portfolio management for individuals and small businesses.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Carroll Investors charge?
Carroll Investors charges 1.00%–3.00% a year for its Portfolio Management Services. The fee is billed in arrears and is negotiable.
Source: CARROLL INVESTORS, INC. ADV BROCHURE, filed 19 March 2026
Which custodians does Carroll Investors use?
Carroll Investors’ separately managed account assets are held at Raymond James & Associates, Inc. (St. Petersburg, FL), with $221M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 19 March 2026
How many financial advisors does Carroll Investors have?
Carroll Investors has 2 investment adviser representatives registered with state securities authorities, out of 3 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Carroll Investors invest in?
At the end of its last fiscal year, Carroll Investors’ separately managed accounts held 95% exchange-traded equities and 5% 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 Carroll Investors?
Carroll Investors’ direct owner is Stephen Carroll (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 19 March 2026
How does Carroll Investors get paid?
Carroll Investors is paid through a percentage of assets under management. 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 Carroll Investors?
Carroll Investors’ main office is at 1036 Lansing DR, Suite 102, MT Pleasant, SC 29464. Its phone number is 843-352-4963.