The Carroll Group, Inc.

The Carroll Group provides discretionary portfolio management and investment advisory services primarily to high‑net‑worth families and individuals and does not serve non‑high‑net‑worth individual clients. Its recommendations rely mainly on money market funds, diversified and sector mutual funds, exchange‑traded funds and, occasionally, individual equities, with fees negotiated under client agreements.

The firm employs a fundamental security‑analysis approach and builds broadly diversified portfolios across growth/value, industry and geography, using active managers where judged to add value and passive/index funds in more efficient sectors. Client needs are established through intake interviews and financial planning, accounts are reviewed at least weekly, and the adviser typically operates with client‑granted discretion for portfolio transactions.

Noteworthy features include a very small client base—eight accounts overseeing roughly $163 million—resulting in a high asset concentration per client compared with peers, and a principal‑owned structure in which the owner serves as the portfolio manager. The brochure discloses that the adviser may hold the same positions as clients and often executes client and adviser trades in the same period; the firm uses Charles Schwab as its default broker/custodian and encourages clients to obtain independent audits.