CARROLL INVESTORS, INC.

Advisory Business

Type of Organization	Corporation
Fiscal Year End	DECEMBER
Legal Location	South Carolina, United States

Employees

Total Number of Employees	3
Investment Advisory/Research	2
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	2
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	190	$150.4M
Non-Discretionary	0	$0
Total	190	$150.4M

Clients

Type	Number	RAUM
Individuals	54	$16.9M
HNW Individuals	51	$133.4M
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	0	$0
Pension and profit sharing plans	0	$0
Charitable organizations	0	$0
State or municipal gov entities	0	$0
Other investment advisers	0	$0
Insurance companies	0	$0
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	0	$0
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	0
No. of Financial Planning Clients	0

Services

Advisory Services	Portfolio management for individuals and/or small businesses
Compensation	% of AUM

Identifiers

SEC RIA File Number	801-119870
SEC ERA File Number	801-119870
SEC CIK Numbers	1911400
SEC CRD Numbers	311180
Legal Entity Identifier	None

Principal Office

1036 LANSING DR
SUITE 102
MT PLEASANT
SC
United States

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic