{"url":"https://nivawealth.com/firms/carroll-investors-311180","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/311180","regulatoryAum":221449186,"crd":"311180","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2804183","suffix":null,"lastName":"CARROLL","firstName":"STEPHEN","middleName":"DARRYL"},{"crd":"5164889","suffix":null,"lastName":"HOWE","firstName":"MARIA","middleName":"BETHANY"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-06-02","regulatoryAum":190000000,"clients":84,"employees":2,"offices":1},{"filedOn":"2022-03-31","regulatoryAum":188011859,"clients":128,"employees":3,"offices":1},{"filedOn":"2023-03-30","regulatoryAum":102908170,"clients":117,"employees":3,"offices":1},{"filedOn":"2024-03-10","regulatoryAum":150351147,"clients":105,"employees":3,"offices":1},{"filedOn":"2025-03-19","regulatoryAum":213328684,"clients":92,"employees":3,"offices":1},{"filedOn":"2026-03-19","regulatoryAum":221449186,"clients":88,"employees":3,"offices":1}],"secFileNumber":"801-119870","legalName":"Carroll Investors, Inc.","displayName":"Carroll Investors","slug":"carroll-investors-311180","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"2021","organization":"South Carolina corporation","fiscalYearEnd":"December","headquarters":{"street":"1036 Lansing DR, Suite 102","city":"MT Pleasant","state":"SC","stateName":"South Carolina","country":"United States","postalCode":"29464"},"tradeNames":[],"registration":{"secApproved":"30 November 2020","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":2516468.022727273,"staff":{"employees":3,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":221449186,"discretionary":221449186,"discretionaryAccounts":298,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":40,"regulatoryAum":12872968},{"label":"High-net-worth individuals","clients":48,"regulatoryAum":208576218}],"feePrograms":[{"role":"main","program":"Portfolio Management Services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1021918","versionId":1021918,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-03-19","documentName":"CARROLL INVESTORS, INC. 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ADV BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1021918","versionId":1021918,"submittedOn":"2026-03-19"}]},"custodians":[{"name":"Raymond James & Associates, Inc.","shortName":"Raymond James","location":"St. Petersburg, FL","smaAssets":221449186}],"custodyNote":"Carroll Investors has custody of $45M in client assets for 8 clients.","otherCustodians":[],"leadership":[{"name":"Stephen Carroll","title":"President/CEO","crd":"2804183"},{"name":"Maria Howe","title":"Chief Compliance Officer","crd":"5164889"}],"ownership":[{"label":"Stephen Carroll","detail":"President/ceo in the 75% or more ownership band and a control person, since September 2020."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"South Carolina","offices":1,"addresses":[{"street":"1036 Lansing DR, Suite 102","city":"MT Pleasant","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"843-352-4963","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":95},{"label":"Cash and cash equivalents","percent":5}],"privateFunds":0},"sources":{"adv1FilingDate":"19 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/311180/PDF/311180.pdf","brochureDate":"19 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1021918","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Carroll Investors have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Carroll Investors offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Carroll Investors charge?","answer":"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","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Carroll Investors use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Carroll Investors have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Carroll Investors invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Carroll Investors?","answer":"Carroll Investors’ direct owner is Stephen Carroll (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 19 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Carroll Investors get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Carroll Investors?","answer":"Carroll Investors’ main office is at 1036 Lansing DR, Suite 102, MT Pleasant, SC 29464. Its phone number is 843-352-4963.","source":"Form ADV Part 1A, Item 1.F, filed 19 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/carroll-investors-311180/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-08-03","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/1911400/000117266126003009/0001172661-26-003009-index.html","totalValue":234016470,"positionCount":31,"top10Share":0.8459611240183224,"top10":[{"issuer":"ADVANCED MICRO DEVICES INC","titleOfClass":"COM","cusip":"007903107","value":31196929,"shares":53841,"shareType":"SH","priorValue":10953688,"priorShares":53845},{"issuer":"NVIDIA CORPORATION","titleOfClass":"COM","cusip":"67066G104","value":27921073,"shares":139757,"shareType":"SH","priorValue":24396466,"priorShares":139888},{"issuer":"PALANTIR TECHNOLOGIES INC","titleOfClass":"CL 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Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}