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CARNEGIE INVESTMENT COUNSEL

PEPPER PIKE, OH · CRD 150488 · IAPD ↗ · carroll-financial.com · 216-367-4114

$7.51BRegulatory AUM
39Advisory reps
69Employees
0Clients
251-500Planning clients
0Private funds
37States
1Disclosures
wealthSegment
ApprovedSEC status

Filing changes

55
May 2026 — CARNEGIE INVESTMENT COUNSEL's Item 11 disclosure-reporting entries rose by 1 (0 -> 1).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
47
April 2026 — CARNEGIE INVESTMENT COUNSEL notice-filed in UT.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
April 2026 — CARNEGIE INVESTMENT COUNSEL added office(s): 9 -> 10 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
53
April 2025 — CARNEGIE INVESTMENT COUNSEL notice-filed in ID, MO, NM, VT.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
April 2025 — CARNEGIE INVESTMENT COUNSEL added office(s): 8 -> 9 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
68
April 2025 — CARNEGIE INVESTMENT COUNSEL reported RAUM up 44% ($4.52B -> $6.52B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
63
April 2024 — CARNEGIE INVESTMENT COUNSEL reports 251-500 financial-planning clients, up from 101-250.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
66
April 2024 — CARNEGIE INVESTMENT COUNSEL reported RAUM up 30% ($3.47B -> $4.52B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.