Carrick Lane Llc
- Regulatory AUM
- $3.0B
- Discretionary
- $3.0B
- Clients
- 656
- Avg AUM / client
- $4.6M
- Accounts
- 808
- Employees
- 6
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 19, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | 645 | $2.2B | 72.8% |
| Other investment advisers | 11 | $825M | 27.2% |
People (4)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Kennedy, Allan, Nmn | Member | Nov 2020 (6y) | ≈ 18.75% – 50% via Carrick Lane Holdings Llc | |
| Knowles, Timothy, Christopher | Member | May 2021 (5y) | GP / trustee / elected manager of Carrick Lane Holdings Llc (indirect) | |
| Kwalik, Kenneth, E | Member | May 2021 (5y) | ≈ 18.75% – 50% via Carrick Lane Holdings Llc | |
| Montgomery, Peter, Church | Member | May 2021 (5y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Carrick Lane Holdings Llc | Member | Nov 2020 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Kennedy, Allan, Nmn: 25% – 50% of Carrick Lane Holdings Llc × 75% – 100% direct ≈ 18.75% – 50% of the firm
- Kwalik, Kenneth, E: 25% – 50% of Carrick Lane Holdings Llc × 75% – 100% direct ≈ 18.75% – 50% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/19/2026 | 977 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Fidelity Brokerage Services $1.8B (59% of AUM) Mar 2026
- Charles Schwab & Co. $753M (25% of AUM) Mar 2026
- Pershing $338M (14% of AUM) Mar 2025
- J.P. Morgan $263M (11% of AUM) Mar 2025
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 19, 2026.
View current Form ADV (SEC/IAPD) ↗