Carnegie Capital Asset Management, Llc
SEC-registered
Wealth Manager · Mid-sized ($1B–$10B)
CRD 150488
· SEC file 801-70242
· Pepper Pike, OH
· WWW.CARROLL-FINANCIAL.COM
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ADV data as of Jul 09, 2026
- Regulatory AUM
- $7.5B
- Discretionary
- $6.8B
- Clients
- 3,281
- Avg AUM / client
- $2.3M
- Accounts
- 8,541
- Employees
- 69
AUM over time
$453M
$7.5B
Dec 2011
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 09, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1,870 | $876M | 11.7% |
| High net worth individuals | 1,186 | $5.3B | 70.2% |
| Pension and profit sharing plans | 13 | $76.0M | 1.01% |
| Charitable organizations | 77 | $404M | 5.38% |
| State or municipal government entities | Fewer than 5 clients | $21.0M | 0.28% |
| Other investment advisers | 6 | $188M | 2.51% |
| Insurance companies | Fewer than 5 clients | $3.1M | 0.04% |
| Corporations and other businesses | 129 | $670M | 8.92% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Anesthesia Associates, P.L.L. Profit Sharing Plan And Trust Anesthesia Associates, P.L.L. | 2024 | |
| Zimmer Biomet Apex Surgical 401(k) Plan Zimmer Biomet Apex Surgical, Llc | 2024 | |
| Fabriweld Corporation 401(k) Profit Sharing Plan Fabriweld Corporation | 2024 | |
| Cleveland Clinic Savings And Investment Plan The Cleveland Clinic Foundation | 2024 | |
| Delta 401(k) Retirement Plan Delta Air Lines, Inc. | 2024 | |
| Blueprints Retirement Plan Blueprints | 2024 |
People (38)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Gary Paul Wagner | Member | Apr 2009 (17y) | 25% – 50% | |
| Richard Lee Alt | Member | Apr 2009 (17y) | Less than 5% | |
| Shigemura Hildebrand, Ann | Chief Compliance Officer | Jul 2023 (3y) | Less than 5% | |
| Spidalieri, Joseph, Michael | Chief Operating Officer | Nov 2023 (3y) | Less than 5% | |
| Douglas Seth Pease | Registered representative | Apr 2011 (15y) | ||
| William Robert Anderson | Registered representative | Mar 2012 (14y) | ||
| Linda Louise Fousek | Registered representative | CFA | Apr 2013 (13y) | |
| Heidi Leann Rose | Registered representative | Jun 2013 (13y) | ||
| Robert Patrick Carroll | Registered representative | CFP | Jun 2013 (13y) | |
| Scott Raymond Inglis | Registered representative | CFA | Jun 2014 (12y) | |
| Arthur Gates Merriman | Registered representative | Jan 2015 (12y) | ||
| Kimberly Martina Gannis | Registered representative | Oct 2015 (11y) | ||
| Keith Allen Vargo | Registered representative | CFA | Oct 2017 (9y) | |
| Margaret Ellen Halloran | Registered representative | Oct 2017 (9y) | ||
| Peter Alfred Vandenbroeck | Registered representative | Oct 2017 (9y) | ||
| Christopher Allen Henry | Registered representative | Sep 2018 (8y) | ||
| Shams Afzal | Registered representative | Sep 2018 (8y) | ||
| Gregory Walter Halter | Registered representative | CFA | Feb 2019 (7y) | |
| Brendan Alexander Goldstein | Registered representative | Jul 2019 (7y) | ||
| Brittany Nicole Blazey | Registered representative | Aug 2019 (7y) | ||
| Maria Isabel R. Pedrosa | Registered representative | Dec 2019 (7y) | ||
| John Randall Frye | Registered representative | CFA | Jun 2021 (5y) | |
| Douglas Matthew Warzinski | Registered representative | CFP | Jul 2021 (5y) | |
| Brandon Lee Thuott | Registered representative | Jul 2022 (4y) | ||
| Charles Andrew Robb | Registered representative | Jul 2022 (4y) | ||
| Wendy Lynn Eldridge | Registered representative | Jul 2024 (2y) | ||
| Michael Benjamin Oliver | Registered representative | CFA | Feb 2025 (1y) | |
| Alejandro Miguel Velazquez | Registered representative | CFP | Feb 2025 (1y) | |
| Alison J Hamilton | Registered representative | CFP | Feb 2025 (1y) | |
| Benjamin Duffield Connard | Registered representative | CFA | Feb 2025 (1y) | |
| John Jay Knox | Registered representative | CFA | Feb 2025 (1y) | |
| David Abbott Tillson | Registered representative | CFA | Feb 2025 (1y) | |
| Lynn Renee Najman | Registered representative | CFP | Feb 2025 (1y) | |
| Ryan L Applegate | Registered representative | May 2025 (1y) | ||
| Skye Garland | Registered representative | CFP CFA | Sep 2025 (1y) | |
| Richard A Ahl | Registered representative | CFA | Oct 2025 (1y) | |
| Michael James Curry | Registered representative | CFP | Apr 2026 (0y) | |
| Steven J Daugherty | Registered representative | Apr 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Old Viking Ii Trust | Member | Dec 2023 | A | 50% – 75% |
| Alt, Richard, Lee | Trustee | Dec 2023 | B | ≈ 25% – 56.25% via Old Viking Ii Trust |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Alt, Richard, Lee: 50% – 75% of Old Viking Ii Trust × 50% – 75% direct ≈ 25% – 56.25% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (6)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Anesthesia Associates, P.L.L. Profit Sharing Plan And Trust | Anesthesia Associates, P.L.L. | 18 | $3.3M | 01/01/2024 |
| Zimmer Biomet Apex Surgical 401(k) Plan | Zimmer Biomet Apex Surgical, Llc | 127 | $8.7M | 01/01/2024 |
| Fabriweld Corporation 401(k) Profit Sharing Plan | Fabriweld Corporation | 113 | $7.6M | 01/01/2024 |
| Cleveland Clinic Savings And Investment Plan | The Cleveland Clinic Foundation | 68,206 | $9.2B | 01/01/2024 |
| Delta 401(k) Retirement Plan | Delta Air Lines, Inc. | 89,993 | $19.0B | 01/01/2024 |
| Blueprints Retirement Plan | Blueprints | 521 | $9.4M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/09/2026 | 1.02 MB | 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
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $5.0B (66% of AUM) Jul 2026
- National Financial Services (Fidelity) $1.3B (17% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 09, 2026.
View current Form ADV (SEC/IAPD) ↗