The Carroll Financial Group (Cincinnati)

The Carroll Financial Group is a large advisory firm based in Cincinnati. It manages $63.96 million of regulatory assets for 331 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdictions of Indiana, Kentucky, and Ohio.

The Carroll Financial Group provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and pension consulting services. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.

The Carroll Financial Group: assets under management

The assets under management (AUM) of The Carroll Financial Group is $63.96 million. The firm's AUM has grown by 34% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $57.96 million in discretionary accounts and $6 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $189.4 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $239.97 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay The Carroll Financial Group for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at The Carroll Financial Group

Thomas Patrick Carroll has been acting as President since 1 Jul 1996. Robert Patrick Carroll joined the executive team most recently as the Vice President.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Thomas Patrick Carroll	President/cco	1 Jul 1996	75% - 100%	841753
Robert Patrick Carroll	Vice president	1 Jan 2008	Other	5113389

Based in Cincinnati

The principal office where The Carroll Financial Group performs its advisory services is located at 2142 Alpine Place, Cincinnati, OH 45206, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.