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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

CARROLL CONSULTANTS ADVISORS, LTD.

CRD 159836

WAYNE, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:88eeab6b-c803-61ee-69ba-d7c715e0cccb

Data as of Dec 10, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 1
Observed: Feb 28, 2012 to Dec 10, 2018
19 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

Carroll Consultants Advisors, Ltd.

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.7BItem 5.F on the latest filing (2018-12-10); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $135M
Private client RAUM: $16.6MderivedItem 5.D individuals plus high net worth individuals
Private client share: 1%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees: 3
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 123
Individual clients: 26
SEC number: 801-74454
CRD: 159836
Filings on the tape: 19
First filed: Feb 28, 2012
Latest filed: Dec 10, 2018
Organised: Corporation, Pennsylvania

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CARROLL CONSULTANTS LTD.	Shareholder	E	yes	10/2011	Feb 28, 2012	Dec 10, 2018
CARROLL, MARCELLA, ANN	Shareholder	E	yes	08/2014	Jan 26, 2016	Dec 10, 2018
GIEDGOWD, THOMAS, HENRY	CHIEF COMPLIANCE OFFICER	Na	yes	10/2011	Feb 28, 2012	Dec 10, 2018

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CARROLL CONSULTANTS LTD.	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 29, 2018	$1.7B	$135M	3	3	1	n/a	n/a
2016	Mar 29, 2017	$1.5B	$111M	3	3	n/a	n/a	n/a
2015	Jan 26, 2016	$1.2B	$76.2M	13	2	n/a	n/a	n/a
2014	Mar 31, 2015	$1.0B	$0	14	3	n/a	n/a	n/a
2013	Mar 31, 2014	$766M	$0	6	2	n/a	n/a	n/a
2012	Mar 26, 2013	$150M	$0	3	1	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$1.7B	$1.5B	15.0%	$1.0B	17.1%	3	3	1	n/a

Relationships

Controls (3)

← CARROLL CONSULTANTS LTD.OwnerSHAREHOLDER, ownership code E, domestic entity
Feb 28, 2012 to presentfactForm ADV
← GIEDGOWD, THOMAS, HENRYOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 28, 2012 to presentfactForm ADV
← CARROLL, MARCELLA, ANNOwnerSHAREHOLDER, ownership code E, individual
Jan 26, 2016 to presentfactForm ADV

Registered with (1)

← RICHARD CHRISTIAN RITZERAdvisorregistration: previous registration
Sep 17, 2013 to Mar 28, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:88eeab6b-c803-61ee-69ba-d7c715e0cccb
First observed: Feb 28, 2012
Last observed: Dec 10, 2018 94 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

CARROLL CONSULTANTS ADVISORS, LTD.

CRD 159836

WAYNE, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:88eeab6b-c803-61ee-69ba-d7c715e0cccb

Data as of Dec 10, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:31 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CARROLL CONSULTANTS LTD.

Shareholder

yes

10/2011

Feb 28, 2012

Dec 10, 2018

CARROLL, MARCELLA, ANN

Shareholder

yes

08/2014

Jan 26, 2016

Dec 10, 2018

GIEDGOWD, THOMAS, HENRY

CHIEF COMPLIANCE OFFICER

yes

10/2011

Feb 28, 2012

Dec 10, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CARROLL CONSULTANTS LTD.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 29, 2018

$1.7B

$135M

n/a

2016

Mar 29, 2017

$1.5B

$111M

n/a

2015

Jan 26, 2016

$1.2B

$76.2M

n/a

2014

Mar 31, 2015

$1.0B

n/a

2013

Mar 31, 2014

$766M

n/a

2012

Mar 26, 2013

$150M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$1.7B

$1.5B

15.0%

$1.0B

17.1%

n/a