Richard L. Carroll

INTENTIONAL WEALTH STRATEGIES

Colorado Springs, CO 80920

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CRD#: 5548162

Professional summary

Richard Lehmann Carroll, CFP®, who also goes by Rich Carroll, Richard Carroll, is a registered financial advisor currently at INTENTIONAL WEALTH STRATEGIES located in Colorado Springs, Colorado.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Richard has worked at 8 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rich Carroll | Richard Carroll

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.

(1)Name of Business: Intentional Wealth Strategies Address: 1125 Kelly Johnson Blvd. Ste. 111, Colorado Springs, CO, 80920, United States Activity Type: Independent RIA Position/Title: Advisor, Partner Investment Related: Yes Start Date: 11/01/2020 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Overseeing RIA and providing financial advice (2)Name of Business: Intentional Wealth Strategies, LLC Address: 1125 Kelly Johnson Blvd. suite 111, Colorado Springs, CO, 80920, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 08/01/2020 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Co-Managing Partner

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Lehmann 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®

CFP^®

Certified Financial Planner

Start date: 2014

Experience

Current

September 29, 2023 - Present

INTENTIONAL WEALTH STRATEGIES

Office #1: 1125 Kelly Johnson Blvd. Suite 111, Colorado Springs, CO 80920

RIA

CRD#: 327743

Colorado Springs, CO

Past

October 23, 2020 - December 1, 2023

INTENTIONAL WEALTH STRATEGIES

RIA

CRD#: 310791

COLORADO SPRINGS, CO

Past

September 25, 2020 - October 3, 2023

CRD#: 6363

COLORADO SPRINGS, CO

Past

March 7, 2011 - February 15, 2013

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

COLORADO SPRINGS, CO

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".

INTENTIONAL WEALTH STRATEGIES

INTENTIONAL WEALTH STRATEGIES | LONG CARROLL WEALTH, LLC

CRD#: 327743 / SEC#: 801-128740

RIA

Registered Investment Advisory firm - (9/15/2023 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.

Highlighted states indicate IAR registrations

IAR

Colorado
(9/29/2023)

IAR

Texas
(9/29/2023)

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.

Exams

State Security Law Exam

Series 63

Date: 11/17/2020

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/26/2013

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/25/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/15/2020

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/4/2011

General Securities Representative Examination

Current Firm

INTENTIONAL WEALTH STRATEGIES

INTENTIONAL WEALTH STRATEGIES | LONG CARROLL WEALTH, LLC

CRD#: 327743 / SEC#: 801-128740

RIA

Registered Investment Advisory firm - (9/15/2023 Approved)

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Contact information

Main Address

1125 Kelly Johnson Blvd. Suite 111, Colorado Springs, CO 80920

Mailing Address

Phone number

(719) 694-8002

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR LONG CARROLL WEALTH, LLC (3/28/2025)

Regulatory assets under management

Total Number of Accounts	573
AUM (Assets Under Management)	$ 139,635,618

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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Richard L. Carroll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Lehmann Carroll's CRS (Customer Relationship Summary).

Certified licenses

Experience

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USAA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

INTENTIONAL WEALTH STRATEGIES

State Registrations and Notice Filings

Exams

Series 63

Date: 11/17/2020

Series 65

Date: 3/26/2013

Series 7TO

Date: 9/25/2020

SIE

Date: 9/15/2020

Series 7

Date: 3/4/2011

Current Firm

INTENTIONAL WEALTH STRATEGIES

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INTENTIONAL WEALTH STRATEGIES

TRUST BUT VERIFY

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