Overview
Assets Under Management: $2.5 billion
Headquarters: CHARLOTTE, NC
High-Net-Worth Clients: 900
Average Client Assets: $1.7 million
Frequently Asked Questions
CARROLL FINANCIAL ASSOCIATES INC is a fee-based investment advisor. Detailed fee schedules are available in their SEC Form ADV filing.
Yes. As an SEC-registered investment advisor (CRD #105427), CARROLL FINANCIAL ASSOCIATES INC is subject to fiduciary duty under federal law.
CARROLL FINANCIAL ASSOCIATES INC is headquartered in CHARLOTTE, NC.
CARROLL FINANCIAL ASSOCIATES INC serves 900 high-net-worth clients according to their SEC filing dated July 30, 2018. View client details ↓
According to their SEC Form ADV, CARROLL FINANCIAL ASSOCIATES INC offers financial planning, portfolio management for individuals, portfolio management for institutional clients, pension consulting services, and educational seminars and workshops. View all service details ↓
CARROLL FINANCIAL ASSOCIATES INC manages $2.5 billion in client assets according to their SEC filing dated July 30, 2018.
According to their SEC Form ADV, CARROLL FINANCIAL ASSOCIATES INC serves high-net-worth individuals, institutional clients, and pension and profit-sharing plans. View client details ↓
Services Offered
Services: Financial Planning, Portfolio Management for Individuals, Portfolio Management for Institutional Clients, Pension Consulting, Educational Seminars
Clients
Number of High-Net-Worth Clients: 900
Percentage of Firm Assets Belonging to High-Net-Worth Clients: 63.58%
Average Client Assets: $1.7 million
Total Client Accounts: 6,259
Discretionary Accounts: 5,848
Non-Discretionary Accounts: 411
Regulatory Filings
CRD Number: 105427
Filing ID: 1232084
Last Filing Date: 2018-07-30 15:30:00