Thomas Carroll
Thomas Carroll is a CFA-designated registered investment advisor at Summit Investment Management, LTD., based in Greenfield, WI, with 31 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 169 clients with $87M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.25% |
Fees are negotiable. Maximum fee is up to 1.00% for Investment Management and up to 1.25% for Wealth Management Oversight.
Fee Estimator
Location
5005 W. Loomis Rd., Suite 200, Greenfield, WI, 53220
Get directionsHistory
Regulatory History (2)
Regulatory
July 2025Customer Dispute
July 2018Other Business Activities
Thomas is a member of Southeast Wisconsin Process, LLC, a process serving company, since 2006. He spends minimal time on this activity.
Employment History
Current Registrations
Summit Investment Management, LTD.
Previous Registrations
Northwestern Mutual Investment Services, LLCBroker
State Registrations12 states
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
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