CARSWELL INVESTMENTS, LLC
Adviser information for CARSWELL INVESTMENTS, LLC last updated from Form ADV on March 26th, 2024. 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 | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| 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 | 546 | $260.4M |
| Non-Discretionary | 0 | $0 |
| Total | 546 | $260.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 121 | $45.8M |
| HNW Individuals | 37 | $184.5M |
| 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 | 2 | $27.7M |
| 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 | 2 | $2.4M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-72455 |
|---|---|
| SEC ERA File Number | 801-72455 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 158205 |
| Legal Entity Identifier | None |
Principal Office
6320 FLY ROAD, SUITE 205EAST SYRACUSE
NY
United States
Monday - Friday, 8:30 AM - 5:00 PM
Tel: (800) 510-6693, Fax: (800) 510-6693
Chief Compliance Officer
STEVEN R PICKARD
PRESIDENT
245 SEVEN FARMS DRIVE, SUITE 300A
DANIEL ISLAND
SC
United States
Tel:
(800) 510-6693
Fax:
(800) 510-6693
S*******@**********************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PICKARD, STEVEN, ROGER | Individual | – | MANAGING MEMBER, PRESIDENT, CHIEF COMPLIANCE OFFICER | 05/2011 | > 75% |