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CARROLL ADVISORY GROUP

TEXARKANA, TX · CRD 334565 · IAPD ↗ · carrolladvisory.com · 903-793-4014

$341.1MRegulatory AUM
4Advisory reps
7Employees
29Clients
0Planning clients
0Private funds
9States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

67
March 2026 — CARROLL ADVISORY GROUP reported RAUM up 50% ($227.6M -> $341.1M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
48
December 2025 — CARROLL ADVISORY GROUP notice-filed in AL, CA, UT, VA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
95
April 2025 — CARROLL ADVISORY GROUP (TEXARKANA, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 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.