Michael B. Carroll

ARISTOTLE CAPITAL MANAGEMENT

RYE, NY

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CRD#: 3043511

Professional summary

Michael Bevan Carroll, CIMA® is a registered financial advisor currently at ARISTOTLE CAPITAL MANAGEMENT, LLC located in Rye, New York and FORESIDE FINANCIAL SERVICES, LLC located in Newport Beach, California.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Michael has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

ARISTOTLE CAPITAL MANAGEMENT, LLC; COLD SPRING, NY; INVESTMENT RELATED; START DATE 7/11/14; SENIOR VICE PRESIDENT, REGIONAL DIRECTOR; 160 HOURS PER MONTH DEVOTED WITH 95% DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Bevan Carroll's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CIMA^®

Certified Investment Management Analyst

Experience

Current

July 7, 2015 - Present

ARISTOTLE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 109876

RYE, NY

Current

October 16, 2023 - Present

FORESIDE FINANCIAL SERVICES, LLC

Office #1: 840 Newport Center Drive Suite 700, Newport Beach, CA 92660

CRD#: 148477

Newport Beach, CA

Past

September 4, 2014 - October 24, 2023

IMST DISTRIBUTORS, LLC

CRD#: 130745

PORTLAND, ME

Past

April 11, 2014 - June 30, 2014

GRANDFUND INVESTMENT GROUP, LLC

CRD#: 143253

RENO, NV

Past

July 12, 2012 - April 1, 2014

PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC

CRD#: 143809

NEW YORK, NY

Past

January 20, 2011 - July 2, 2012

FORESIDE GLOBAL SERVICES, LLC

CRD#: 147382

PORTLAND, ME

Past

April 8, 2009 - December 2, 2010

PACIFIC CORNERSTONE CAPITAL INCORPORATED

CRD#: 40397

SANTA ANA, CA

Past

January 3, 2007 - January 26, 2009

FORESIDE FUND SERVICES, LLC

CRD#: 46106

NEW YORK CITY, NY

Past

September 29, 2006 - March 1, 2007

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 108928

PLAINSBORO, NJ

Past

September 29, 2006 - March 1, 2007

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

NEW YORK, NY

Past

November 12, 2003 - September 29, 2006

MERRILL LYNCH INVESTMENT MANAGERS LP

RIA

CRD#: 105068

RYE, NY

Past

November 11, 2003 - September 29, 2006

FAM DISTRIBUTORS, INC.

CRD#: 4100

NEW YORK, NY

Past

June 21, 2001 - October 2, 2003

STRONG CAPITAL MANAGEMENT INC

RIA

CRD#: 106638

MENOMONEE FALLS, WI

Past

July 3, 2000 - October 2, 2003

STRONG INVESTMENTS, INC.

CRD#: 15658

MENOMONEE FALLS, WI

Past

August 3, 1998 - July 5, 2000

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ARISTOTLE CAPITAL MANAGEMENT, LLC

ARISTOTLE | REED CONNER & BIRDWELL LLC | REED CONNER & BIRDWELL | ARISTOTLE CAPITAL MANAGEMENT, LLC

CRD#: 109876 / SEC#: 801-60014

RIA

Registered Investment Advisory firm - (2/8/2001 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

California
(7/7/2015)

Connecticut
(10/24/2023)

Delaware
(10/24/2023)

District of Columbia
(10/24/2023)

Maine
(10/24/2023)

Maryland
(10/24/2023)

Massachusetts
(10/24/2023)

New Hampshire
(10/24/2023)

New Jersey
(10/24/2023)

New York
(10/24/2023)

Pennsylvania
(10/24/2023)

Rhode Island
(10/24/2023)

Vermont
(10/24/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/6/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/5/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/19/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/31/1998

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ARISTOTLE CAPITAL MANAGEMENT, LLC

ARISTOTLE | REED CONNER & BIRDWELL LLC | REED CONNER & BIRDWELL | ARISTOTLE CAPITAL MANAGEMENT, LLC

CRD#: 109876 / SEC#: 801-60014

RIA

Registered Investment Advisory firm - (2/8/2001 Approved)

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Contact information

Main Address

11100 Santa Monica Blvd Suite 1700, Los Angeles, CA 90025-0449

Mailing Address

Phone number

(310) 478-4005

Established

Firm type

Fiscal year end

# of Employees

156

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ACM FORM ADV PART 2A (3/12/2025)

Regulatory assets under management

Total Number of Accounts	5,904
AUM (Assets Under Management)	$ 43,833,669,241

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Michael B. Carroll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Bevan Carroll's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FINANCIAL SERVICES, LLC

IMST DISTRIBUTORS, LLC

GRANDFUND INVESTMENT GROUP, LLC

PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC

FORESIDE GLOBAL SERVICES, LLC

PACIFIC CORNERSTONE CAPITAL INCORPORATED

FORESIDE FUND SERVICES, LLC

BLACKROCK INVESTMENT MANAGEMENT, LLC

BLACKROCK INVESTMENTS, LLC

MERRILL LYNCH INVESTMENT MANAGERS LP

FAM DISTRIBUTORS, INC.

STRONG CAPITAL MANAGEMENT INC

STRONG INVESTMENTS, INC.

DWS DISTRIBUTORS, INC.

Primary Firm SEC Registration

ARISTOTLE CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/6/2001

Series 63

Date: 11/5/1998

SIE

Date: 10/1/2018

Series 7

Date: 2/19/1999

Series 6

Date: 7/31/1998

FINRA

Current Firm

ARISTOTLE CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARISTOTLE CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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