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.
SEC-registered adviser
Carroll Investors, Inc.
Latest filing Mar 19, 2026
First filing on the tape Oct 27, 2020 · 11 filings
SEC status approved since Nov 30, 2020
RAUM
$221M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$221M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$111M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$221M as of Mar 19, 2026
Mar 12, 2021$190M then
HNW client RAUM$209M as of Mar 19, 2026
Mar 12, 2021$167M then
State-registered IARs (5.B.3)2 as of Mar 19, 2026
Mar 12, 20212 then
Employees (5.A)3 as of Mar 19, 2026
Mar 12, 20212 then
Private funds: no history
RAUM +3.8% over the last fiscal year+29% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $111MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $743,118derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $45.0M, 8 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$209M94%
- Individuals$12.9M5.8%
- Individual clients
- 40reported
- HNW clients
- 48reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 298reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $45.0M for 8 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Stephen Darryl Carroll | Mt Pleasant, Sc | Nov 30, 2020 | 29 y | 3 |
| Maria Bethany Howe | Mt Pleasant, Sc | Jan 7, 2021 | 19 y | 3 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Maria Bethany Howe from Raymond James & Associates, Inc.Jan 7, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- Stephen Darryl Carroll from Raymond James & Associates, Inc.Nov 30, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Raymond James & Associates, Inc.Dec 31, 2020 · Charleston, Sc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Darryl Stephen Carroll · President/Ceocontrolsince 09/2020 · owns 75% or more
- Martino Maria Howe · Chief Compliance Officersince 09/2020 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mt Pleasant, Sc · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 305 to 298Mar 19, 2025 to Mar 19, 2026
- HNW clients · 50 to 48Mar 19, 2025 to Mar 19, 2026
- Individual clients · 42 to 40Mar 19, 2025 to Mar 19, 2026
- Assets in custody · $24.0M to $45.0MMar 19, 2025 to Mar 19, 2026
- Discretionary RAUM · $213M to $221MMar 19, 2025 to Mar 19, 2026
- HNW RAUM · $198M to $209MMar 19, 2025 to Mar 19, 2026
- Individual RAUM · $15.5M to $12.9MMar 19, 2025 to Mar 19, 2026
- RAUM · $213M to $221MMar 19, 2025 to Mar 19, 2026
- Accounts · 190 to 305Jan 17, 2025 to Mar 19, 2025
- HNW clients · 51 to 50Jan 17, 2025 to Mar 19, 2025
- Individual clients · 54 to 42Jan 17, 2025 to Mar 19, 2025
- Assets in custody · $17.0M to $24.0MJan 17, 2025 to Mar 19, 2025
- Financial planning clients · 0 to 0Jan 17, 2025 to Mar 19, 2025
- Discretionary RAUM · $150M to $213MJan 17, 2025 to Mar 19, 2025
- HNW RAUM · $133M to $198MJan 17, 2025 to Mar 19, 2025
- Individual RAUM · $16.9M to $15.5MJan 17, 2025 to Mar 19, 2025
- RAUM · $150M to $213MJan 17, 2025 to Mar 19, 2025
- Accounts · 205 to 190Mar 30, 2023 to Mar 10, 2024
- HNW clients · 50 to 51Mar 30, 2023 to Mar 10, 2024
- Individual clients · 67 to 54Mar 30, 2023 to Mar 10, 2024
- Assets in custody · $15.0M to $17.0MMar 30, 2023 to Mar 10, 2024
- Discretionary RAUM · $103M to $150MMar 30, 2023 to Mar 10, 2024
- HNW RAUM · $94.6M to $133MMar 30, 2023 to Mar 10, 2024
- Individual RAUM · $8.4M to $16.9MMar 30, 2023 to Mar 10, 2024
- RAUM · $103M to $150MMar 30, 2023 to Mar 10, 2024
- Accounts · 500 to 205Sep 13, 2022 to Mar 30, 2023
- HNW clients · 58 to 50Sep 13, 2022 to Mar 30, 2023
- Individual clients · 70 to 67Sep 13, 2022 to Mar 30, 2023
- Assets in custody · $14.0M to $15.0MSep 13, 2022 to Mar 30, 2023
- Discretionary RAUM · $188M to $103MSep 13, 2022 to Mar 30, 2023
- HNW RAUM · $166M to $94.6MSep 13, 2022 to Mar 30, 2023
- Individual RAUM · $21.7M to $8.4MSep 13, 2022 to Mar 30, 2023
- RAUM · $188M to $103MSep 13, 2022 to Mar 30, 2023
- Accounts · 444 to 500Jun 2, 2021 to Mar 31, 2022
- Individual clients · 26 to 70Jun 2, 2021 to Mar 31, 2022
- Assets in custody · $190M to $14.0MJun 2, 2021 to Mar 31, 2022
- Employees · 2 to 3Jun 2, 2021 to Mar 31, 2022
- Financial planning clients · 1-10 to 0Jun 2, 2021 to Mar 31, 2022
- Discretionary RAUM · $190M to $188MJun 2, 2021 to Mar 31, 2022
- HNW RAUM · $167M to $166MJun 2, 2021 to Mar 31, 2022
Signals
1 dated events
- Carroll Investors, Inc. filed its initial SEC registration (Form ADV)Oct 27, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 843-352-4963reportedpublic record, Form ADV, Mar 19, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $111Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026