CARROLL INVESTMENTS, LLC
Adviser information for CARROLL INVESTMENTS, LLC last updated from Form ADV on October 20th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 0 | $0 |
| Non-Discretionary | 1 | $563.1M |
| Total | 1 | $563.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $563.1M |
| 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 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPRIVATE INVESTMENT OPPORTUNITIES |
|---|---|
| Compensation | AFFILIATES RECEIVE FEES AS DISCLOSED IN FORM ADV 2A ITEM 5 |
Identifiers
| SEC RIA File Number | 801-122989 |
|---|---|
| SEC ERA File Number | 801-122989 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 316884 |
| Legal Entity Identifier | None |
Principal Office
3340 PEACHTREE ROAD NESUITE 2250
ATLANTA
GA
United States
Monday - Friday, 9 AM TO 5 PM EST
Tel: 404-812-8270, Fax: None
Chief Compliance Officer
ERIC KLEINSCHMIDT
CHIEF COMPLIANCE OFFICER
3 CANAL PLAZA
SUITE 100
PORTLAND
ME
United States
Tel:
484-588-5509
E****************@************M
(Full email address available in API data)
Regulatory Contact
STEFANIE BERTCHER
SENIOR VICE PRESIDENT, INVESTOR RELATIONS
3340 PEACHTREE ROAD NE
SUITE 2250
ATLANTA
GA
United States
Tel:
404-812-8218
Fax:
404-592-1817
S****************@*************M
(Full email address available in API data)
Industry Affiliates
| CARROLL MULTIFAMILY HOLDINGS VI, LLC | Sponsor, GP, manager of pooled investment vehicles |
| CARROLL MULTIFAMILY HOLDINGS VII, LLC | Sponsor, GP, manager of pooled investment vehicles |
| MPC PROPERTY HOLDINGS III, LLC | Sponsor, GP, manager of pooled investment vehicles |
| MPC PROPERTY HOLDINGS IV, LLC | Sponsor, GP, manager of pooled investment vehicles |
| MPC PROPERTY HOLDINGS V, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CARROLL MULTIFAMILY VENTURE VII, LP | Real Estate Fund | $563.1M | $1.0M | 24 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MPC PARTNERSHIP HOLDINGS LLC | Domestic Entity | – | OWNER | 08/2021 | > 75% |
| P. CARROLL CAPITAL PARTNERS, LLC | Domestic Entity | MPC PARTNERSHIP HOLDINGS LLC | OWNER, MEMBER/MANAGER | 02/2013 | 50-75% |
| HUP INVESTMENT COMPANY, LLC | Domestic Entity | P. CARROLL CAPITAL PARTNERS, LLC | OWNER | 08/2012 | > 75% |
| Carroll, Michael, Patrick | Individual | – | FOUNDER AND CEO | 08/2021 | < 5% |
| PEREZ, DAVID, JOSE | Individual | – | PRESIDENT, CHIEF OPERATING OFFICER | 08/2021 | < 5% |
| JOHNS, MELANIE, ANN | Individual | – | CHIEF FINANCIAL OFFICER | 08/2021 | < 5% |
| Carroll, Michael, Patrick | Individual | HUP INVESTMENT COMPANY, LLC | OWNER | 08/2012 | > 75% |
| KLEINSCHMIDT, ERIC, JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2022 | < 5% |