RIA Intel›Advisers›North Carolina›CARROLL FINANCIAL ASSOCIATES INC

CARROLL FINANCIAL ASSOCIATES INC

Advisory

N·CHARLOTTE, NC

Data as of Aug 5, 2021 · Source: SEC Form ADV

Total AUM

$4.1B

1-Year AUM Growth

+17.2%

3-Year CAGR

+18.0%

Employees

45

Assets Under Management

Total AUM$4.1B

Discretionary AUM$3.9B

Non-Discretionary AUM$170M

Discretionary %95.8%

Total Clients—

Team

Total Employees45

Investment Advisers52

Employee Growth (1Y)—

Filing History

Total Filings on Record60

First FilingJan 31, 2001

Latest FilingAug 5, 2021

🔒 Full AUM trend chart and 60 historical filings spanning 20+ years

Registration

Status—

Registration Date—

SEC RegisteredYes

Exempt ReportingNo

⚡ Succession Risk Score

Our proprietary 5-pillar model analyzes founder tenure, ownership concentration, AUM dependency, and more to score transition risk.

📊 Peer Benchmarking

See how this firm ranks against peers nationally and by state across AUM growth, efficiency, team size, and 16 other metrics.

👥 Owners & Officers

View the complete ownership structure from SEC Schedule A/B filings, including control persons and their tenure.

🏦 Client Demographics

Detailed breakdown of client types including individuals, high-net-worth, institutions, pension plans, and charitable organizations.

Get the full picture on CARROLL FINANCIAL ASSOCIATES INC

Succession risk scoring, peer benchmarking, ownership structure, private fund details, and 20+ years of filing history.