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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

Patrick Vincent Carroll

Advisor at PRINCIPAL ASSET MANAGEMENT

Scarsdale, NY

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Jan 17, 2014 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

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

Current firm: PRINCIPAL ASSET MANAGEMENT
Current firm class: other adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 31, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Aug 31, 1993
First registration: Jan 17, 2014
Dual registered: yes, broker-dealer
Other names: Patrick Vincent Carroll|PAT CARROLL|PATRICK VINCENT CARROLL
IAPD individual key: 2351128

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PRINCIPAL ASSET MANAGEMENT	Other adviser	Jun 23, 2026	n/a	yes	Scarsdale, NY	Current employment
HILTON CAPITAL MANAGEMENT, LLC	Mixed wealth	Apr 13, 2022	Apr 30, 2026	no	GARDEN CITY, NY	Previous registration
JOHN HANCOCK INVESTMENT MANAGEMENT LLC	Asset manager	Nov 8, 2018	Apr 11, 2022	no	SCARSDALE, NY\|BOSTON, MA	Previous registration
MANULIFE INVESTMENT MANAGEMENT (US) LLC	Asset manager	Jul 30, 2018	Nov 8, 2018	no	SCARSDALE, NY\|BOSTON, MA	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Feb 8, 2018	Jul 19, 2018	no	SCARSDALE, NY\|SCARSDALE, NY\|SCARSDALE, NY	Previous registration
BLACKROCK FINANCIAL MANAGEMENT, INC	Other adviser	Jan 17, 2014	Jan 18, 2018	no	SCARSDALE, NY\|NEW YORK, NY\|PRINCETON, NJ\|NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
HILTON CAPITAL MANAGEMENT, LLC	PRINCIPAL ASSET MANAGEMENT	Apr 30, 2026	Jun 23, 2026	54	Firm change	Other
JOHN HANCOCK INVESTMENT MANAGEMENT LLC	HILTON CAPITAL MANAGEMENT, LLC	Apr 11, 2022	Apr 13, 2022	2	Firm change	Other
MANULIFE INVESTMENT MANAGEMENT (US) LLC	JOHN HANCOCK INVESTMENT MANAGEMENT LLC	Nov 8, 2018	Nov 8, 2018	0	Bulk transfer	Other
J.P. MORGAN SECURITIES LLC	MANULIFE INVESTMENT MANAGEMENT (US) LLC	Jul 19, 2018	Jul 30, 2018	11	Firm change	Other
BLACKROCK FINANCIAL MANAGEMENT, INC	J.P. MORGAN SECURITIES LLC	Jan 18, 2018	Feb 8, 2018	21	Firm change	Other

Relationships

Registered with (6)

→ PRINCIPAL ASSET MANAGEMENTRegistered adviserregistration: current employment
Jun 23, 2026 to presentfactForm ADV
→ HILTON CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Apr 13, 2022 to Apr 30, 2026factForm ADV
→ JOHN HANCOCK INVESTMENT MANAGEMENT LLCRegistered adviserregistration: previous registration
Nov 8, 2018 to Apr 11, 2022factForm ADV
→ MANULIFE INVESTMENT MANAGEMENT (US) LLCRegistered adviserregistration: previous registration
Jul 30, 2018 to Nov 8, 2018factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Feb 8, 2018 to Jul 19, 2018factForm ADV
→ BLACKROCK FINANCIAL MANAGEMENT, INCRegistered adviserregistration: previous registration
Jan 17, 2014 to Jan 18, 2018factForm ADV

Dated events

Occurred
Apr 30, 2026
Advisor changed firm
Patrick Vincent Carroll left Hilton Capital Management, Llc for Principal Asset Management (registered 2026-06-23)
Form ADVobserved 5 days ago
Occurred
Apr 11, 2022
Advisor changed firm
Patrick Vincent Carroll left John Hancock Investment Management Llc for Hilton Capital Management, Llc (registered 2022-04-13)
Form ADVobserved 5 days ago