Carroll Financial Group, Inc.
State-registered
Wealth Manager · Boutique (under $100M)
CRD 139704
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· WWW.CARROLLFINANCIALGROUP.NET
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ADV data as of Jul 31, 2026
- Regulatory AUM
- $21.2M
- Discretionary
- $21.2M
- Clients
- 40
- Avg AUM / client
- $529K
- Accounts
- 106
- Employees
- 1
AUM over time
$21.2M
$21.2M
Apr 10, 2024
Jul 31, 2026
Reported AUM from Form ADV filings, plotted by filing date · as of Jul 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 11 | $2.1M | 10.0% |
| High net worth individuals | 25 | $16.9M | 80.0% |
| Corporations and other businesses | 4 | $2.1M | 10.0% |
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/10/2024 | 985 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 31, 2026.
View current Form ADV (SEC/IAPD) ↗