James R. Carroll V

Managing Principal

“Clients deserve an unemotional advisor that has their best interest in mind.”

- James R. Carroll V


I am dedicated to helping clients meet their investment needs and achieve their life goals by developing wealth management plans around their long-term goals.

You can trust that we will consistently and responsibly perform all requested services and that we will be available when you need us. You will always be treated with respect, honesty and dignity.

Working together is essential to effective investment planning. To this end, we both need to make your investment strategies a priority. We will agree to keep each other informed of any new developments that might affect these strategies. We will agree to take the time to review your Financial Strategy Action Plan. We will both be honest and forthcoming about your financial situation. We will work to develop mutual trust, respect and understanding.


For over 20 years, James has helped clients address their financial concerns and develop strategies by focusing on each family’s specific needs. With extensive experience throughout major shifts in the markets, James has dedicated his career to delivering the personalized investment planning services his clients deserve.

After receiving a Bachelor’s degree in Business Management from UNC Wilmington, James worked for eight years in retail as a District Manager for a chain of men’s clothing stores, traveling Texas, Louisiana, Mississippi, Alabama and North Carolina. He began his financial services career in 1998 in Raleigh as a Financial Advisor with A.G. Edwards and Sons, which later became Wells Fargo Advisors.

Through his relationship with mentors and co-workers over his career, James has developed a steady hand. He is known for keeping emotion out of his decision-making and recommendations for clients, while making sure the focus stays on their goals.


James enjoys staying fit, especially running, biking and swimming. James and his wife, Betsy are active members of North Raleigh United Methodist Church. He has served on the boards of the UNCW Alumni Association and the Capital City Club. He is the past President of the board of Transitions LifeCare and past Chairman of the Board of Trustees for the Hospice of Wake County Foundation. James and Betsy live in Raleigh and are very proud of their two sons, Robinson and Ward.