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Carol Nulman

Robertson Stephens
43 Years of Experience
South Kingstown, RI
5 DisclosuresBroker
View SEC Summary
View SEC Summary

Carol Nulman is a registered investment advisor at Robertson Stephens, based in South Kingstown, RI, with 43 years of industry experience. Carol is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 2,295 clients with $8.8B in assets under management.

Robertson Stephens
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
72 advisors
Number of Clients
2,295 clients
Average Client Portfolio
$3.8M average
Assets Under Management
$8.8B

Fee Structure

Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Fees are negotiable and typically range from 0.10% to 2.00% based on the size and complexity of the services required. Clients may also negotiate an annual fixed fee.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

50 S County Commons Way, Unit E6, South Kingstown, RI, 02879

Get directions

History

Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
January 2010
Denied
Customer Dispute
July 2009
Denied
Customer Dispute
February 2008
Closed-No Action
Customer Dispute
August 1999
Settled
Customer Dispute
April 1991
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Carol serves as a trustee or co-trustee for various trusts, including the Thomas Sauermilch Irrevocable Trust and the Ida Barak Sauermilch Irrevocable Trust, spending minimal time on these duties. She also manages Rose Harbor LLC and Bleachery Court LLC, dedicating about 10-20% of her time to each, and is a limited partner in CBI LLC, owning baseball teams and sports rights, while also acting as a trustee for The Nulman Foundation and advising a local TV provider, dedicating about 10-20% of her time and minimal time respectively.

Employment History
Current Registrations
Robertson Stephens
October 2025 - Present · 1 yr
Robertson Stephens Capital Markets, LLCBroker
October 2025 - Present · 1 yr
Previous Registrations
Robertson Stephens
October 2025 - October 2025 · 0 mos
Hightower Securities, LLCBroker
April 2015 - September 2025 · 10 yrs 5 mos
Hightower Advisors, LLC
April 2015 - September 2025 · 10 yrs 5 mos
Oppenheimer & CO. INC.
April 2009 - April 2015 · 6 yrs
Oppenheimer & CO. INC.Broker
April 2009 - April 2015 · 6 yrs
Citigroup Global Markets INC.
May 2005 - May 2009 · 4 yrs
Citigroup Global Markets INC.Broker
March 1992 - May 2009 · 17 yrs 2 mos
Wertheim Schroder & CO. IncorporatedBroker
July 1984 - March 1992 · 7 yrs 8 mos
Shearson Lehman/american Express INC.Broker
March 1983 - August 1984 · 1 yr 5 mos
Lehman Brothers Kuhn Loeb IncorporatedBroker
March 1983 - June 1984 · 1 yr 3 mos
State Registrations3 states
NYRITX
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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