DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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SEC-registered adviser

C••••••• C•••••• M••••••••• C••••••• L•••

Asset manager (funds and pooled vehicles)Charlotte, North CarolinaCRD 157822SEC 801-73773website IAPD

Latest filing May 8, 2026

First filing on the tape Feb 14, 2012 · 22 filings

SEC status approved since Mar 23, 2012

RAUM

$1.9B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

16 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

22 filings and snapshots on the tape

RAUM$1.9B as of May 8, 2026

Apr 1, 2013$439M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of May 8, 2026

Apr 1, 20130 then

Employees (5.A)19 as of May 8, 2026

Apr 1, 201314 then

Private funds10 as of May 8, 2026

Apr 1, 20138 then

RAUM +14% over the last fiscal year+7.5% a year over threeIARs 0 to 0

Practice profile

derived from the filing of May 8, 2026; every figure names its basis

RAUM per advisor: unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: $191MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year: +14%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, performance-basedreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 5.G
Custody: $1.9B, 10 clientsreportedItem 9.A
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

buys or sells securities as principal to or from clients (8.A.2)
has discretionary authority over which securities are bought or sold (8.C.1)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
marketing includes testimonials (5.L.1.c)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$1.9B100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 10reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $1.9B for 10 clientsreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

0 on IAPD today, longest tenure first

No representative is registered through this CRD on IAPD.

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

15 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
C••••••• C•••••• P••••••• V•• L•••	Private Equity Fund	$671M	71	Mar 30, 2021
C••••••• C•••••• P••••••• V• L•	Private Equity Fund	$511M	46	Mar 30, 2017
C••••••• C•••••• P••••••• I•• L•	Private Equity Fund	$137M	32	Feb 14, 2012
C••••••• C•••••• A••• S••• L•••	Private Equity Fund	$92.3M	30	Mar 30, 2021
C••••••• C•••••• C•• F••• V• L•	Private Equity Fund	$45.9M	61	Mar 30, 2017
C••••••• C•••••• A••• R••••••• P•••••••• L•••	Private Equity Fund	$36.1M	30	Mar 30, 2021
C••••••• C•••••• C•• F••• V•• L•••	Private Equity Fund	$32.1M	52	Mar 30, 2021
C••••••• C•••••• C•••••• I• A••• R••••••• P••••••••• L•••	Private Equity Fund	$27.3M	6	Mar 30, 2021
C••••••• C•••••• C•• F••• I•• L•	Private Equity Fund	$21.8M	60	Feb 14, 2012
C••••••• C•••••• P••••••• I•• L•no longer reported	Private Equity Fund	$3.9M	83	Feb 14, 2012
C••••••• C•••••• P••••••• I• P•• L•	Private Equity Fund	$1.3M	3	Feb 14, 2012
C••••••• C•••••• P••••••• P•• I••• L•no longer reported	Private Equity Fund	$0	7	Feb 14, 2012
C••••••• C•••••• C•• F••• I••• L•no longer reported	Private Equity Fund	$0	67	Feb 14, 2012
C••••••• C•••••• P••••••• I••• L•no longer reported	Private Equity Fund	$0	50	Feb 14, 2012
C••••••• C•••••• P•••••••• L•no longer reported	Private Equity Fund	$0	92	Feb 14, 2012

Owners and control persons

Schedule A and B, latest filing

C••••• P••••• L• · Limited Partnercontrol
since 01/2021 · owns 10% to 25%
E••••• D•••••• J•••• · Chief Financial Officer And Chief Compliance Officercontrol
since 07/2019 · owns less than 5%
G••••• C••••••• S•••• · Managing Limited Partnercontrol
since 01/2008 · owns 25% to 50%
S•••••••• J••••• C•••••• · Managing Limited Partnercontrol
since 01/2008 · owns 25% to 50%
W••••• A•••• C••••••••• · Limited Partnercontrol
since 01/2021 · owns 10% to 25%
G••••• C••••••• S•••• · Managing Limited Liability Company Member Of C••••••• C•••••• M••••••••• C••••••• L••control
since 12/2012 · owns 25% to 50% of C••••••• C•••••• M••••••••• C••••••• L••
S•••••••• J••••• C•••••• · Managing Limited Liability Company Member Of C••••••• C•••••• M••••••••• C••••••• L••control
since 12/2012 · owns 25% to 50% of C••••••• C•••••• M••••••••• C••••••• L••

Entity owners

C••••••• C•••••• M••••••••• C••••••• L•• · General Partner
direct · owns less than 5%

Related persons

Schedule D 7.A

C••••••• C•••••• A••• G•• L•••••
pooled vehicle sponsorn
C••••••• C•••••• C•••••• I•• L••
pooled vehicle sponsorn
C••••••• C•••••• C•••••• V• L••
pooled vehicle sponsorn
C••••••• C•••••• C•••••• V•• L•••••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 15 to 16
Nov 3, 2025 to Mar 24, 2026
Assets in custody · $1.7B to $1.9B
Nov 3, 2025 to Mar 24, 2026
Employees · 18 to 19
Nov 3, 2025 to Mar 24, 2026
Discretionary RAUM · $1.7B to $1.9B
Nov 3, 2025 to Mar 24, 2026
Pooled vehicle RAUM · $1.7B to $1.9B
Nov 3, 2025 to Mar 24, 2026
RAUM · $1.7B to $1.9B
Nov 3, 2025 to Mar 24, 2026
Advisory employees · 14 to 15
Mar 27, 2024 to Mar 25, 2025
Assets in custody · $1.6B to $1.7B
Mar 27, 2024 to Mar 25, 2025
Employees · 17 to 18
Mar 27, 2024 to Mar 25, 2025
Financial planning clients · unset to
Mar 27, 2024 to Mar 25, 2025
Discretionary RAUM · $1.6B to $1.7B
Mar 27, 2024 to Mar 25, 2025
Pooled vehicle RAUM · $1.6B to $1.7B
Mar 27, 2024 to Mar 25, 2025
RAUM · $1.6B to $1.7B
Mar 27, 2024 to Mar 25, 2025
Assets in custody · $1.5B to $1.6B
Mar 27, 2023 to Mar 27, 2024
Discretionary RAUM · $1.5B to $1.6B
Mar 27, 2023 to Mar 27, 2024
Pooled vehicle RAUM · $1.5B to $1.6B
Mar 27, 2023 to Mar 27, 2024
RAUM · $1.5B to $1.6B
Mar 27, 2023 to Mar 27, 2024
Advisory employees · 13 to 14
Mar 28, 2022 to Mar 27, 2023
Assets in custody · $1.6B to $1.5B
Mar 28, 2022 to Mar 27, 2023
Employees · 16 to 17
Mar 28, 2022 to Mar 27, 2023
Discretionary RAUM · $1.6B to $1.5B
Mar 28, 2022 to Mar 27, 2023
Pooled vehicle RAUM · $1.6B to $1.5B
Mar 28, 2022 to Mar 27, 2023
RAUM · $1.6B to $1.5B
Mar 28, 2022 to Mar 27, 2023
Advisory employees · 12 to 13
Mar 30, 2021 to Mar 28, 2022
Assets in custody · $1.7B to $1.6B
Mar 30, 2021 to Mar 28, 2022
Employees · 15 to 16
Mar 30, 2021 to Mar 28, 2022
Discretionary RAUM · $1.7B to $1.6B
Mar 30, 2021 to Mar 28, 2022
Pooled vehicle RAUM · $1.7B to $1.6B
Mar 30, 2021 to Mar 28, 2022
RAUM · $1.7B to $1.6B
Mar 30, 2021 to Mar 28, 2022
Accounts · 6 to 10
Feb 11, 2021 to Mar 30, 2021
Advisory employees · 11 to 12
Feb 11, 2021 to Mar 30, 2021
Pooled vehicle clients · 6 to 10
Feb 11, 2021 to Mar 30, 2021
Assets in custody · $759M to $1.7B
Feb 11, 2021 to Mar 30, 2021
Employees · 14 to 15
Feb 11, 2021 to Mar 30, 2021
Private funds · 9 to 10
Feb 11, 2021 to Mar 30, 2021
Discretionary RAUM · $759M to $1.7B
Feb 11, 2021 to Mar 30, 2021
Pooled vehicle RAUM · $759M to $1.7B
Feb 11, 2021 to Mar 30, 2021
RAUM · $759M to $1.7B
Feb 11, 2021 to Mar 30, 2021
Accounts · 9 to 6
Aug 2, 2019 to Mar 30, 2020
Pooled vehicle clients · 9 to 6
Aug 2, 2019 to Mar 30, 2020

Signals

6 dated events

C••••••• C•••••• M••••••••• C••••••• L••• reported RAUM $1.7B, up 123% from $759.0M (2021-02-11 to 2021-03-30)
Mar 30, 2021 · RAUM change · derived
L. Peter Clark (Managing Limited Liability Company Member Of C••••••• C•••••• M••••••••• C••••••• L••) appeared on Schedule A of C••••••• C•••••• M••••••••• C••••••• L•••
Feb 11, 2021 · Control person joined · fact
Christopher Alan Welch (Managing Limited Liability Company Member Of C••••••• C•••••• M••••••••• C••••••• L••) appeared on Schedule A of C••••••• C•••••• M••••••••• C••••••• L•••
Feb 11, 2021 · Control person joined · fact
Nelson Schwab (Managing Limited Liability Company Member Of Carousel Capital Company Ii, Llc) no longer on Schedule A of C••••••• C•••••• M••••••••• C••••••• L••• (listed 2019-03-29, absent 2019-08-02)
Aug 2, 2019 · Control person left · inference
Thomas William Hobbs (Limited Liability Company Member Of Carousel Capital Company Ii, Llc) no longer on Schedule A of C••••••• C•••••• M••••••••• C••••••• L••• (listed 2019-03-29, absent 2019-08-02)
Aug 2, 2019 · Control person left · inference
James Daniel Eassa (Chief Financial Officer And Chief Compliance Officer) appeared on Schedule A of C••••••• C•••••• M••••••••• C••••••• L•••
Aug 2, 2019 · Control person joined · fact

Across DFX

shared identifiers only, never a name match

C••••••• C•••••• M••••••••• C••••••• L••• · Independent Sponsors
shared crd · capital_provider
C••••••• C•••••• M••••••••• C••••••• L••• · Private Equity
shared crd · organization

How to reach

public business contact points only, each with its source

Firm profile: linkedin.com/company/carousel-capitalreportedpublic record, Form ADV, Sep 18, 2026
Website: H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: 704-372-2040reportedpublic record, Form ADV, May 8, 2026

Provenance

Form ADV: SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors: IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class: Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
RAUM per advisor: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026