SourcingSourcing

CARROLL INVESTORS, INC.

C45
CRD 311180·SEC 801-119870·MT PLEASANT, SC
AUM
$221.4M
$100M-$500M
Est. Revenue
$2.2M
@ 1% on AUM
Est. EBITDA
$664K
@ 30% margin
Est. Deal Value
$5.3M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
CARROLL INVESTORS, INC.
CRD
311180
SEC file #
801-119870
EIN
853124301
DBA names
—

Economics

AUM
$221.4M
AUM band
$100M-$500M
AUM trajectory
'22'26
$190.0M → $221.4M▲ +17%
Client mix
Individuals High Net Worth48
Individuals Other40

Operations

Employees (total)
3
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'21'26
2 advisors → 2 advisors▬ 0%
Primary office
MT PLEASANT SC
Branches
—

Custodian & Brokerage

Primary custodian
Raymond Jameslow confidence
Services offered
Portfolio mgmt — individuals
Fee basis
% of AUM

Filings

Latest ADV filing
03/19/2026
ADV-W filed at
—
Website
—

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
CARROLL, STEPHEN, DARRYL
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
CARROLL, STEPHEN, DARRYL
HOWE, MARIA, BETHANY
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001911400
Edgar Registered
Yes
Edgar Filing Count
20
Edgar First Filing Date
2022-02-16
Edgar Last Filing Date
2026-05-15
Edgar 13f Count
18
Edgar 13f Latest AUM Estimate
Filing Date2026-05-15
Accession0001172661-26-002268

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Raymond James4
E*trade4
Edgar Addresses
Mailing
1036 LANSING DRIVESUITE 102MT PLEASANT, SC 29464
Business
1036 LANSING DRIVESUITE 102MT PLEASANT, SC 29464
Edgar EIN
853124301
Edgar Recent Filings
13F-HR2026-05-15 · 0001172661-26-002268
13F-HR2026-02-13 · 0001172661-26-000765
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
2804183
Trust Company Affiliate
No

People (2)

2
CARROLL, STEPHEN, DARRYL
IAR · Direct Owner · 87.5%
2804183
HOWE, MARIA, BETHANY
IAR · Executive Officer · 2.5%
5164889