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CARO INVESTORS

CHEVY CHASE, MD · CRD 332085 · IAPD ↗ · caroinvestors.com · 571.679.3476

$316.7MRegulatory AUM
6Advisory reps
6Employees
0Clients
n/aPlanning clients
1Private funds
1States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

51
April 2026 — CARO INVESTORS reported RAUM up 44% ($219.7M -> $316.7M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
54
December 2025 — CARO INVESTORS grew from 1 to 5 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
December 2025 — CARO INVESTORS now reports 1 private fund(s) ($219.7M gross).
Firm reports private funds for the first time.
Fund administrationCompliance
85
July 2025 — CARO INVESTORS (CHEVY CHASE, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
50
June 2025 — CARO INVESTORS (CHEVY CHASE, MD) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
85
March 2025 — CARO INVESTORS (CHEVY CHASE, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
50
January 2025 — CARO INVESTORS (CHEVY CHASE, MD) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
85
October 2024 — CARO INVESTORS (CHEVY CHASE, MD) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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