PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 5:57 AM ET

Sponsor Check › Sponsor group

C

Carroll

One sponsor team, 8 deal companies · Greenwich, CT

Grouped because: 7 shared people, same business address (8 issuers), similar issuer names (4) (automatic match from the filings) · not the same sponsor?

8deal companies
$114Mreported sold
24investors
14Form D filings
2022–2025active
0new, last 12 mo
Follow this sponsor groupLook further ↓

Data last updated Oct 23, 2026, 5:45 PM ET · Latest filing in this group Sep 30, 2025 · Courts (RECAP) last checked: Oct 24, 2026, 2:16 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Carroll is a sponsor group of 8 issuers that PartnerFacts links to one sponsor (shared people, same business address, similar issuer names; automatic match from the filings), filing 14 Form D filings between Mar 2022 and Sep 2025.

What this means One team, 8 deal companies, about 3 years of track record in SEC filings. We link the companies because the same people or address appear on their forms — tap "Request a correction" if that is wrong.

Combined reported sold: $114M to 24 investors (latest filing per issuer). Industries as reported: "Other" (8). Issuers are based in CT (8).

What this means $114M raised across the group, about $4.75M per investor. Amounts come from each company's latest Form D; they are what the sponsor reported, not audited figures.

Principal people: Brian F. Carroll (8 issuers, executive officer and director), Ian Ronda (4 issuers, executive officer and director), Lin He (4 issuers, executive officer and director), Brett McCay (3 issuers, executive officer and director), Fernando Maddock (3 issuers, director) and 5 more.

What this means The person on the most companies is usually the one running the show; their page lists every deal.

Activity: 0 new offerings in the last 12 months; latest filing Sep 30, 2025.

What this means No new raise filed in the past year.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AZ, CA, DE, TX, WA), property records (NYC, FL, IL and TX counties) — 40 court cases matching the name, 35 bankruptcy cases matching the name listed in Key records below.

What this means 75 records came back, including 4 court cases still open — open cases can take years and cost money. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.

We compared 14 public filings for Carroll and found 1 difference: 4 role changes for the same people across filings.

What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.

What the community is saying

Community search for Carroll has not run yet — it is joining a line of 19,863 names; searches run around the clock at the hosts' allowed rate. Searched so far: 32 names.

Community comments are quoted as written by their authors. Sources searched: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

40 cases: 4 open, 14 closed (disposition not in docket feed), 16 dismissed, 6 judgment

Rose v. Elevator Service Co. Connecticut, LLC open
District Court, D. Massachusetts · No. 3:26-cv-11032 · Filed Feb 27, 2026
Role of Rose v. Elevator Service Co. Connecticut, LLC: Party · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
company name words appear in the caption; court in MA (not the issuer's state)
Rose v. Elevator Service Co. Connecticut, LLC open
District Court, D. Massachusetts · No. 1:26-cv-11032 · Filed Feb 27, 2026
Role of Rose v. Elevator Service Co. Connecticut, LLC: Party · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
company name words appear in the caption; court in MA (not the issuer's state)
TRUSTEES OF THE NATIONAL ELEVATOR INDUSTRY PENSION FUND v. NORTHEAST ELEVATOR SERVICE CORP. open
District Court, E.D. Pennsylvania · No. 2:22-cv-02018 · Filed May 24, 2022
Role of TRUSTEES OF THE NATIONAL ELEVATOR INDUSTRY PENSION FUND v. NORTHEAST ELEVATOR SERVICE CORP.: Party · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
company name words appear in the caption; court in PA (not the issuer's state)
Trustees of the National Elevator Industry Pension Fund v. Eastern Elevator Service, Inc. closed
District Court, S.D. Florida · No. 0:22-mc-60384 · Filed Feb 19, 2022 · Closed Feb 22, 2022
Role of Trustees of the National Elevator Industry Pension Fund v. Eastern Elevator Service, Inc.: Party · Outcome: Terminated 2022-02-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in FL (not the issuer's state)
Collins Elevator Service Inc. v. Walsh Federal, LLC closed
District Court, D. Maryland · No. 1:20-cv-01387 · Filed Jun 2, 2020 · Closed Dec 1, 2020
Role of Collins Elevator Service Inc. v. Walsh Federal, LLC: Party · Outcome: Terminated 2020-12-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in MD (not the issuer's state)
United Elevator Service, Inc. v. RMS Properties of Illinois, Inc. dismissed
District Court, S.D. Florida · No. 9:17-cv-80581 · Filed May 8, 2017 · Closed Jan 29, 2018 · Nature of suit: 150 Overpayments & enforcement of judgments
Role of United Elevator Service, Inc. v. RMS Properties of Illinois, Inc.: Party · Outcome: Terminated 2018-01-29 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
company name words appear in the caption; court in FL (not the issuer's state)
Trustees of the National Elevator Industry Pension, Health Benefit, Educational, Elevator Industry Work Preservation Funds, Elevator Constructors Annuity and 401K Retirement Plan v. Above & Beyond Elevator Service, Inc. closed
District Court, W.D. Missouri · No. 4:17-mc-09004 · Filed Feb 7, 2017 · Closed Feb 8, 2017
Role of Trustees of the National Elevator Industry Pension, Health Benefit, Educational, Elevator Industry Work Preservation Funds, Elevator Constructors Annuity and 401K Retirement Plan v. Above & Beyond Elevator Service, Inc.: Party · Outcome: Terminated 2017-02-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in MO (not the issuer's state)
Trustees of the National Elevator Industry Pension, Health Benefit, Educational, Elevator Industry Work Preservation Funds, Elevator Constructors Annuity and 401K Retirement Plan v. Above & Beyond Elevator Service, Inc. closed
District Court, W.D. Missouri · No. 4:16-mc-09007 · Filed Apr 13, 2016 · Closed Apr 13, 2016
Role of Trustees of the National Elevator Industry Pension, Health Benefit, Educational, Elevator Industry Work Preservation Funds, Elevator Constructors Annuity and 401K Retirement Plan v. Above & Beyond Elevator Service, Inc.: Party · Outcome: Terminated 2016-04-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in MO (not the issuer's state)
Trustees of the National Elevator Industry Pension, Health Benefit, Educational, Elevator Industry Work Preservation Funds, Elevator Constructors Annuity and 401(K) Retirement Plan v. Partners Elevator Service, Inc. closed
District Court, N.D. Georgia · No. 1:15-mi-00095 · Filed Nov 16, 2015 · Closed Nov 16, 2015
Role of Trustees of the National Elevator Industry Pension, Health Benefit, Educational, Elevator Industry Work Preservation Funds, Elevator Constructors Annuity and 401(K) Retirement Plan v. Partners Elevator Service, Inc.: Party · Outcome: Terminated 2015-11-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in GA (not the issuer's state)
Urban Elevator Service, LLC v. Lee N' Eddies LLC dismissed
District Court, N.D. Illinois · No. 1:15-cv-07788 · Filed Sep 3, 2015 · Closed Sep 11, 2018 · Nature of suit: 890 Other Statutory Actions · Cause: 28:1331 Federal Question
Role of Urban Elevator Service, LLC v. Lee N' Eddies LLC: Party · Outcome: Terminated 2018-09-11 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
company name words appear in the caption; court in IL (not the issuer's state)
Urban Elevator Service, LLC v. Victoria Group, Inc. dismissed
District Court, N.D. Illinois · No. 1:15-cv-07789 · Filed Sep 3, 2015 · Closed Sep 15, 2016 · Nature of suit: 890 Other Statutory Actions · Cause: 28:1331 Federal Question
Role of Urban Elevator Service, LLC v. Victoria Group, Inc.: Party · Outcome: Terminated 2016-09-15 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
company name words appear in the caption; court in IL (not the issuer's state)
Urban Elevator Service, LLC v. Qual & Cort Roofing and Construction dismissed
District Court, N.D. Illinois · No. 1:15-cv-07449 · Filed Aug 25, 2015 · Closed Apr 26, 2016 · Nature of suit: 890 Other statutory actions
Role of Urban Elevator Service, LLC v. Qual & Cort Roofing and Construction: Party · Outcome: Terminated 2016-04-26 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
company name words appear in the caption; court in IL (not the issuer's state)
Trustees of the National Elevator Industry Pension, Health Benefit, Educational, Elevator Industry Work Preservation Funds, Elevator Constructors Annuity and 401(k) Retirement Plan v. Century Elevator Service, LLC closed
District Court, E.D. Missouri · No. 4:14-mc-00685 · Filed Dec 8, 2014 · Closed Dec 8, 2014
Role of Trustees of the National Elevator Industry Pension, Health Benefit, Educational, Elevator Industry Work Preservation Funds, Elevator Constructors Annuity and 401(k) Retirement Plan v. Century Elevator Service, LLC: Party · Outcome: Terminated 2014-12-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in MO (not the issuer's state)
Trustees of the National Elevator Industry Pension, Health Benefit, Educational, Elevator Industry Work Preservation Funds, Elevator Constructors Annuity and 401(k) Retirement Plan v. Century Elevator Service, LLC closed
District Court, E.D. Missouri · No. 4:14-mc-00672 · Filed Dec 3, 2014 · Closed Dec 9, 2014
Role of Trustees of the National Elevator Industry Pension, Health Benefit, Educational, Elevator Industry Work Preservation Funds, Elevator Constructors Annuity and 401(k) Retirement Plan v. Century Elevator Service, LLC: Party · Outcome: Terminated 2014-12-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in MO (not the issuer's state)
Trustees of the National Elevator Industry Pension, Health Benefit, Educational, Elevator Industry Work Preservation Funds, Elevator Constructors Annuity and 401(k) Retirement Plan v. Century Elevator Service, LLC closed
District Court, E.D. Missouri · No. 4:14-mc-00671 · Filed Dec 3, 2014 · Closed Dec 4, 2014
Role of Trustees of the National Elevator Industry Pension, Health Benefit, Educational, Elevator Industry Work Preservation Funds, Elevator Constructors Annuity and 401(k) Retirement Plan v. Century Elevator Service, LLC: Party · Outcome: Terminated 2014-12-04 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in MO (not the issuer's state)
Plotnikov v. Metro Elevator Service Company dismissed
District Court, E.D. New York · No. 1:14-cv-03329 · Filed May 29, 2014 · Closed Aug 28, 2014 · Nature of suit: 890 Other statutory actions
Role of Plotnikov v. Metro Elevator Service Company: Party · Outcome: Terminated 2014-08-28 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
company name words appear in the caption; court in NY (not the issuer's state)
Trustees of the National Elevator Industry Pension, Health Benefit, Educational, Elevator Industry Work Preservation Funds, Elevator Constructors Annuity and 401K Retirement Plan v. Plummers Elevator Service, Inc. dismissed
District Court, C.D. California · No. 2:14-cv-02511 · Filed Apr 3, 2014 · Closed Apr 11, 2014 · Nature of suit: 480 Consumer credit
Role of Trustees of the National Elevator Industry Pension, Health Benefit, Educational, Elevator Industry Work Preservation Funds, Elevator Constructors Annuity and 401K Retirement Plan v. Plummers Elevator Service, Inc.: Party · Outcome: Terminated 2014-04-11 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
company name words appear in the caption; court in CA (not the issuer's state)
Trustees of the National Elevator Industry Pension, Health Benefit, Educational, Elevator Industry Work Preservation Funds, Elevator Constructors Annuity and 401K Retirement Plan v. Plummers Elevator Service, Inc. closed
District Court, C.D. California · No. 2:13-mc-00404 · Filed Dec 23, 2013 · Closed Apr 3, 2014
Role of Trustees of the National Elevator Industry Pension, Health Benefit, Educational, Elevator Industry Work Preservation Funds, Elevator Constructors Annuity and 401K Retirement Plan v. Plummers Elevator Service, Inc.: Party · Outcome: Terminated 2014-04-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in CA (not the issuer's state)
Trustees of the National Elevator Industry Pension, Health Benefit, Educational, Elevator Industry Work Preservation Funds, Elevator Constructors Annuity and 401(K) Retirement Plan v. Imperial Elevator Service Inc. closed
District Court, N.D. Illinois · No. 1:13-cv-06492 · Filed Sep 11, 2013 · Closed Sep 11, 2013
Role of Trustees of the National Elevator Industry Pension, Health Benefit, Educational, Elevator Industry Work Preservation Funds, Elevator Constructors Annuity and 401(K) Retirement Plan v. Imperial Elevator Service Inc.: Party · Outcome: Terminated 2013-09-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in IL (not the issuer's state)
Trustees of the National Elevator Industry Pension v. H-Worth Elevator Service, LLC closed
District Court, E.D. Louisiana · No. 2:13-mc-05482 · Filed Aug 19, 2013 · Closed Jul 19, 2016
Role of Trustees of the National Elevator Industry Pension v. H-Worth Elevator Service, LLC: Party · Outcome: Terminated 2016-07-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in LA (not the issuer's state)
Carroll Company v. The Sherwin-Williams Company dismissed matched at sponsor-group level (Carroll)
District Court, D. Maryland · No. 1:11-cv-01700 · Filed Jun 21, 2011 · Closed Apr 15, 2014 · Nature of suit: 190 Contract: Other · Cause: 28:1332 Diversity-Breach of Contract
Role of Carroll Company: Plaintiff · Outcome: Terminated 2014-04-15 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
exact company name; name has one distinctive word; court in MD (not the issuer's state); filed 2011, issuer incorporated 2019
Urban Elevator Service, Inc. v. Advanced Elevator Company dismissed
District Court, N.D. Illinois · No. 1:10-cv-00110 · Filed Jan 7, 2010 · Closed Sep 15, 2010 · Nature of suit: 890 Other statutory actions
Role of Urban Elevator Service, Inc. v. Advanced Elevator Company: Party · Outcome: Terminated 2010-09-15 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
company name words appear in the caption; court in IL (not the issuer's state)
Elevator Constructors Union Local No. 1 Annuity & 401 (k) Fund v. Lift-Tech Elevator Service, LLC closed
District Court, E.D. New York · No. 1:09-mc-00664 · Filed Oct 8, 2009 · Closed Oct 8, 2009
Role of Elevator Constructors Union Local No. 1 Annuity & 401 (k) Fund v. Lift-Tech Elevator Service, LLC: Party · Outcome: Terminated 2009-10-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in NY (not the issuer's state)
ELEVATOR CONSTRUCTORS UNION LOCAL NO. 1 ANNUITY AND 401(K) FUND v. LIF-TECH ELEVATOR SERVICE, LLC judgment
District Court, D. New Jersey · No. 2:07-cv-06144 · Filed Dec 26, 2007 · Closed May 22, 2008 · Nature of suit: 791 Employee Retirement Income Security Act
Role of ELEVATOR CONSTRUCTORS UNION LOCAL NO. 1 ANNUITY AND 401(K) FUND v. LIF-TECH ELEVATOR SERVICE, LLC: Party · Outcome: Terminated 2008-05-22 — FJC Integrated Database disposition: Judgment on default; judgment for plaintiff Docket on CourtListener ↗
company name words appear in the caption; court in NJ (not the issuer's state)
TRUSTEES OF THE NATIONAL ELEVATOR INDUSTRY PENSION, HEALTH BENEFIT, EDUCATIONAL FUNDS, ELEVATOR CONSTRUCTORS ANNUITY AND 401(K) RETIREMENT PLAN v. KEYSTONE ELEVATOR SERVICE AND MODERNIZATION dismissed
District Court, E.D. Pennsylvania · No. 2:06-cv-02534 · Filed Jun 14, 2006 · Closed May 8, 2007 · Nature of suit: 791 Employee Retirement Income Security Act
Role of TRUSTEES OF THE NATIONAL ELEVATOR INDUSTRY PENSION, HEALTH BENEFIT, EDUCATIONAL FUNDS, ELEVATOR CONSTRUCTORS ANNUITY AND 401(K) RETIREMENT PLAN v. KEYSTONE ELEVATOR SERVICE AND MODERNIZATION: Party · Outcome: Terminated 2007-05-08 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
company name words appear in the caption; court in PA (not the issuer's state)
Belk v. Millar Elevator Service Company dismissed
District Court, E.D. Michigan · No. 2:05-cv-74383 · Filed Nov 16, 2005 · Closed Apr 16, 2007 · Nature of suit: P.I.: Other · Cause: No cause code entered
Role of Belk v. Millar Elevator Service Company: Party · Outcome: Terminated 2007-04-16 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
company name words appear in the caption; court in MI (not the issuer's state)
TRUSTEES OF THE NATIONAL ELEVATOR INDUSTRY PENSION, HEALTH BENEFIT AND EDUCATIONAL FUNDS v. ALLSTATE ELEVATOR SERVICE INC. dismissed
District Court, E.D. Pennsylvania · No. 2:04-cv-01349 · Filed Mar 29, 2004 · Closed Jun 15, 2004 · Nature of suit: 791 Employee Retirement Income Security Act
Role of TRUSTEES OF THE NATIONAL ELEVATOR INDUSTRY PENSION, HEALTH BENEFIT AND EDUCATIONAL FUNDS v. ALLSTATE ELEVATOR SERVICE INC.: Party · Outcome: Terminated 2004-06-15 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
company name words appear in the caption; court in PA (not the issuer's state)
TRUSTEES OF THE NATIONAL ELEVATOR INDUSTRY PENSION, HEALTH BENEFIT AND EDUCATIONAL FUNDS v. ALLSTATE ELEVATOR SERVICE, INC. dismissed
District Court, E.D. Pennsylvania · No. 2:03-cv-05541 · Filed Oct 3, 2003 · Closed Mar 2, 2004 · Nature of suit: 791 Employee Retirement Income Security Act
Role of TRUSTEES OF THE NATIONAL ELEVATOR INDUSTRY PENSION, HEALTH BENEFIT AND EDUCATIONAL FUNDS v. ALLSTATE ELEVATOR SERVICE, INC.: Party · Outcome: Terminated 2004-03-02 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
company name words appear in the caption; court in PA (not the issuer's state)
TRUSTEES OF THE NATIONAL ELEVATOR INDUSTRY PENSION, HEALTH BENEFIT AND EDUCATIONAL FUNDS v. PARTNERS ELEVATOR SERVICE, INC. judgment
District Court, E.D. Pennsylvania · No. 2:03-cv-05415 · Filed Sep 26, 2003 · Closed Nov 13, 2003 · Nature of suit: 791 Employee Retirement Income Security Act
Role of TRUSTEES OF THE NATIONAL ELEVATOR INDUSTRY PENSION, HEALTH BENEFIT AND EDUCATIONAL FUNDS v. PARTNERS ELEVATOR SERVICE, INC.: Party · Outcome: Terminated 2003-11-13 — FJC Integrated Database disposition: Judgment on default; judgment for plaintiff Docket on CourtListener ↗
company name words appear in the caption; court in PA (not the issuer's state)
TRUSTEES OF THE NATIONAL ELEVATOR INDUSTRY PENSION, HEALTH BENEFIT AND EDUCATIONAL FUNDS v. DIVERSIFIED ELEVATOR SERVICE AND EQUIPMENT COMPANY, INC. judgment
District Court, E.D. Pennsylvania · No. 2:02-cv-08052 · Filed Oct 24, 2002 · Closed Jan 27, 2003 · Nature of suit: 791 Employee Retirement Income Security Act
Role of TRUSTEES OF THE NATIONAL ELEVATOR INDUSTRY PENSION, HEALTH BENEFIT AND EDUCATIONAL FUNDS v. DIVERSIFIED ELEVATOR SERVICE AND EQUIPMENT COMPANY, INC.: Party · Outcome: Terminated 2003-01-27 — FJC Integrated Database disposition: Judgment on default; judgment for plaintiff Docket on CourtListener ↗
company name words appear in the caption; court in PA (not the issuer's state)
TRUSTEES OF THE NATIONAL ELEVATOR INDUSTRY PENSION, HEALTH BENEFIT AND EDUCATIONAL FUNDS v. STERLING ELEVATOR SERVICE CO. judgment
District Court, E.D. Pennsylvania · No. 2:02-cv-04722 · Filed Jul 17, 2002 · Closed Sep 30, 2002 · Nature of suit: 791 Employee Retirement Income Security Act
Role of TRUSTEES OF THE NATIONAL ELEVATOR INDUSTRY PENSION, HEALTH BENEFIT AND EDUCATIONAL FUNDS v. STERLING ELEVATOR SERVICE CO.: Party · Outcome: Terminated 2002-09-30 — FJC Integrated Database disposition: Judgment on default; judgment for plaintiff Docket on CourtListener ↗
company name words appear in the caption; court in PA (not the issuer's state)
TRUSTEES OF THE NATIONAL ELEVATOR INDUSTRY PENSION, HEALTH BENEFIT AND EDUCATIONAL FUNDS v. PARTNERS ELEVATOR SERVICE, INC. dismissed
District Court, E.D. Pennsylvania · No. 2:02-cv-04549 · Filed Jul 9, 2002 · Closed Sep 27, 2002 · Nature of suit: 791 Employee Retirement Income Security Act
Role of TRUSTEES OF THE NATIONAL ELEVATOR INDUSTRY PENSION, HEALTH BENEFIT AND EDUCATIONAL FUNDS v. PARTNERS ELEVATOR SERVICE, INC.: Party · Outcome: Terminated 2002-09-27 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
company name words appear in the caption; court in PA (not the issuer's state)
TRUSTEES OF THE NATIONAL ELEVATOR INDUSTRY PENSION, HEALTH BENEFIT AND EDUCATIONAL FUNDS v. POWER ELEVATOR SERVICE CO. dismissed
District Court, E.D. Pennsylvania · No. 2:02-cv-03999 · Filed Jun 20, 2002 · Closed Aug 19, 2002 · Nature of suit: 791 Employee Retirement Income Security Act
Role of TRUSTEES OF THE NATIONAL ELEVATOR INDUSTRY PENSION, HEALTH BENEFIT AND EDUCATIONAL FUNDS v. POWER ELEVATOR SERVICE CO.: Party · Outcome: Terminated 2002-08-19 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
company name words appear in the caption; court in PA (not the issuer's state)
NATIONAL ELEVATOR TRUSTEE V. PROFESSIONAL ELEVATOR SERVICE open
District Court, D. Nevada · No. 3:99-ms-00017 · Filed Jun 28, 1999
Role of NATIONAL ELEVATOR TRUSTEE V. PROFESSIONAL ELEVATOR SERVICE: Party · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
company name words appear in the caption; court in NV (not the issuer's state)
DATACOR, INC. v. CARROLL COMPANY dismissed matched at sponsor-group level (Carroll)
District Court, D. New Jersey · No. 2:94-cv-02946 · Filed Jun 23, 1994 · Closed Jul 7, 1994 · Nature of suit: 190 Other contract actions
Role of CARROLL COMPANY: Defendant · Outcome: Terminated 1994-07-07 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; name has one distinctive word; court in NJ (not the issuer's state); filed 1994, issuer incorporated 2019
National Elevator v. Elevator Service closed
District Court, D. Delaware · No. 1:92-mc-00011 · Filed Feb 25, 1992 · Closed Jul 6, 1992
Role of National Elevator v. Elevator Service: Party · Outcome: Terminated 1992-07-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in DE (not the issuer's state)
A-Line, Ltd. v. The Carroll Company dismissed matched at sponsor-group level (Carroll)
District Court, N.D. Illinois · No. 1:90-cv-06844 · Filed Nov 27, 1990 · Closed Jan 31, 1991 · Nature of suit: 450 Interstate commerce
Role of The Carroll Company: Defendant · Outcome: Terminated 1991-01-31 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; name has one distinctive word; court in IL (not the issuer's state); filed 1990, issuer incorporated 2019
NAT'L ELEVATOR INDUSTRY v. ALLIED ELEVATOR SERVICE CO. judgment
District Court, E.D. Pennsylvania · No. · Filed Mar 6, 1990 · Closed Apr 27, 1990 · Nature of suit: 791 Employee Retirement Income Security Act
Role of NAT'L ELEVATOR INDUSTRY v. ALLIED ELEVATOR SERVICE CO.: Party · Outcome: Terminated 1990-04-27 — FJC Integrated Database disposition: Judgment on default; judgment for plaintiff Docket on CourtListener ↗
company name words appear in the caption; court in PA (not the issuer's state)
NAT'L ELEVATOR INDUSTRY v. ALLIED ELEVATOR SERVICE CO judgment
District Court, E.D. Pennsylvania · No. · Filed Jan 8, 1988 · Closed Nov 27, 1989 · Nature of suit: 791 Employee Retirement Income Security Act
Role of NAT'L ELEVATOR INDUSTRY v. ALLIED ELEVATOR SERVICE CO: Party · Outcome: Terminated 1989-11-27 — FJC Integrated Database disposition: Judgment on motion before trial; judgment for plaintiff Docket on CourtListener ↗
company name words appear in the caption; court in PA (not the issuer's state)
Federal Deposit Ins v. Carroll Incorporated closed matched at sponsor-group level (Carroll)
District Court, N.D. Georgia · No. 1:86-cv-00994 · Filed May 5, 1986 · Closed Jan 14, 1987
Role of Carroll Incorporated: Defendant · Outcome: Terminated 1987-01-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in GA (not the issuer's state); filed 1986, issuer incorporated 2019
What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:16 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: AZ, CA, DE, TX, WA (crawled Oct 23, 2026)

What was searched

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched Carroll..

State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states are not covered.

3. Bankruptcies

35 cases: 35 closed (disposition not in docket feed)

ALL ELEVATOR SERVICE CORPORATION closed
United States Bankruptcy Court, D. Puerto Rico · No. 23-01554 · Filed May 23, 2023 · Closed Mar 27, 2024
Role of ALL ELEVATOR SERVICE CORPORATION: Party · Outcome: Case closed 2024-03-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in PR (not the issuer's state)
Golden v. Lins Elevator Service, Inc. closed
United States Bankruptcy Court, S.D. Texas · No. 21-04117 · Filed Nov 8, 2021 · Closed Feb 21, 2022
Role of Golden v. Lins Elevator Service, Inc.: Party · Outcome: Case closed 2022-02-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in TX (not the issuer's state)
MJX2 Elevator Service & Repair LLC closed
United States Bankruptcy Court, S.D. Florida. · No. 15-30865 · Filed Nov 30, 2015 · Closed Feb 21, 2018
Role of MJX2 Elevator Service & Repair LLC: Party · Outcome: Case closed 2018-02-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in FL (not the issuer's state)
Pirinate Consulting Group LLC, as Litigation Trust v. Eastern Elevator Service and Sales Company closed
United States Bankruptcy Court, D. Delaware · No. 13-51704 · Filed Aug 30, 2013 · Closed May 12, 2015
Role of Pirinate Consulting Group LLC, as Litigation Trust v. Eastern Elevator Service and Sales Company: Party · Outcome: Case closed 2015-05-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in DE (not the issuer's state)
Salkin v. Eastern Elevator Service, Inc. closed
United States Bankruptcy Court, S.D. Florida. · No. 13-01615 · Filed Aug 15, 2013 · Closed Mar 24, 2014
Role of Salkin v. Eastern Elevator Service, Inc.: Party · Outcome: Case closed 2014-03-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in FL (not the issuer's state)
Eastern Elevator Service, Inc. closed
United States Bankruptcy Court, S.D. Florida. · No. 11-34524 · Filed Aug 31, 2011 · Closed Apr 5, 2016
Role of Eastern Elevator Service, Inc.: Party · Outcome: Case closed 2016-04-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in FL (not the issuer's state)
Sun Healthcare Capital, Inc. v. Golden State Elevator Service closed
United States Bankruptcy Court, C.D. California · No. 1:11-ap-01135 · Filed Feb 10, 2011 · Closed Jul 12, 2011
Role of Sun Healthcare Capital, Inc. v. Golden State Elevator Service: Party · Outcome: Case closed 2011-07-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in CA (not the issuer's state)
Zebley v. Lins Elevator Service, Inc. closed
United States Bankruptcy Court, W.D. Pennsylvania · No. 10-07085 · Filed Dec 17, 2010 · Closed Mar 22, 2011
Role of Zebley v. Lins Elevator Service, Inc.: Party · Outcome: Case closed 2011-03-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in PA (not the issuer's state)
STOEBNER TRUSTEE v. Delta Beckwith Elevator Service Corporation closed
United States Bankruptcy Court, D. Minnesota · No. 10-04553 · Filed Dec 9, 2010 · Closed Jul 29, 2011
Role of STOEBNER TRUSTEE v. Delta Beckwith Elevator Service Corporation: Party · Outcome: Case closed 2011-07-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in MN (not the issuer's state)
Lift Tech Elevator Service LLC v. Walison Corp closed
United States Bankruptcy Court, D. New Jersey · No. 10-01569 · Filed Apr 30, 2010 · Closed Nov 10, 2010
Role of Lift Tech Elevator Service LLC v. Walison Corp: Party · Outcome: Case closed 2010-11-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in NJ (not the issuer's state)
Lift Tech Elevator Service LLC v. Alimak Hek, Inc. closed
United States Bankruptcy Court, D. New Jersey · No. 10-01558 · Filed Apr 28, 2010 · Closed Oct 27, 2010
Role of Lift Tech Elevator Service LLC v. Alimak Hek, Inc.: Party · Outcome: Case closed 2010-10-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in NJ (not the issuer's state)
Lift-Tech Elevator Service, LLC closed
United States Bankruptcy Court, D. New Jersey · No. 09-40244 · Filed Nov 10, 2009 · Closed Nov 29, 2012
Role of Lift-Tech Elevator Service, LLC: Party · Outcome: Case closed 2012-11-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in NJ (not the issuer's state)
Floyd v. Millar Elevator Service Company Inc closed
United States Bankruptcy Court, S.D. Texas · No. 03-03987 · Filed Sep 19, 2003 · Closed Aug 12, 2005
Role of Floyd v. Millar Elevator Service Company Inc: Party · Outcome: Case closed 2005-08-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in TX (not the issuer's state)
Maxwell v. Millar Elevator Service Co closed
United States Bankruptcy Court, N.D. Illinois · No. 03-00569 · Filed Feb 22, 2003 · Closed Nov 17, 2003
Role of Maxwell v. Millar Elevator Service Co: Party · Outcome: Case closed 2003-11-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in IL (not the issuer's state)
Sunterra Corporation v. Millar Elevator Service Company closed
United States Bankruptcy Court, D. Maryland · No. 02-05529 · Filed May 30, 2002 · Closed Oct 28, 2002
Role of Sunterra Corporation v. Millar Elevator Service Company: Party · Outcome: Case closed 2002-10-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in MD (not the issuer's state)
HECHINGER INVESTMENT COMPANY OF DELAWARE, INC. v. CARROLL COMPANY closed matched at sponsor-group level (Carroll)
United States Bankruptcy Court, D. Delaware · No. 01-01990 · Filed Jun 5, 2001 · Closed Jun 26, 2003
Role of CARROLL COMPANY: Defendant · Outcome: Case closed 2003-06-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in DE (not the issuer's state); filed 2001, issuer incorporated 2019
Mmantec, Inc. v. Millar Elevator Service Co. closed
United States Bankruptcy Court, N.D. Georgia · No. 00-06588 · Filed Jun 19, 2000 · Closed Mar 7, 2002
Role of Mmantec, Inc. v. Millar Elevator Service Co.: Party · Outcome: Case closed 2002-03-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in GA (not the issuer's state)
Logan Square East v. Millar Elevator Service Company closed
United States Bankruptcy Court, E.D. Pennsylvania · No. 00-00023 · Filed Jan 11, 2000 · Closed Jun 22, 2000
Role of Logan Square East v. Millar Elevator Service Company: Party · Outcome: Case closed 2000-06-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in PA (not the issuer's state)
Jewel Elevator Service, Inc., a Louisiana Corporat closed
United States Bankruptcy Court, E.D. Louisiana · No. 99-11256 · Filed Mar 16, 1999 · Closed Jan 12, 2001
Role of Jewel Elevator Service, Inc., a Louisiana Corporat: Party · Outcome: Case closed 2001-01-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in LA (not the issuer's state)
Feltman v. Centrellx Elevator Service Corp. closed
United States Bankruptcy Court, S.D. Florida. · No. 98-01443 · Filed Sep 21, 1998 · Closed May 13, 1999
Role of Feltman v. Centrellx Elevator Service Corp.: Party · Outcome: Case closed 1999-05-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in FL (not the issuer's state)
Elevator Service Company Inc. v. Live Oak Elementary School District closed
United States Bankruptcy Court, N.D. California · No. 97-05587 · Filed Dec 18, 1997 · Closed Mar 16, 1998
Role of Elevator Service Company Inc. v. Live Oak Elementary School District: Party · Outcome: Case closed 1998-03-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in CA (not the issuer's state)
Brandon-Dixon Elevator Service, Inc. closed
United States Bankruptcy Court, E.D. Michigan · No. 97-49698 · Filed Jun 9, 1997 · Closed Aug 13, 1997
Role of Brandon-Dixon Elevator Service, Inc.: Party · Outcome: Case closed 1997-08-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in MI (not the issuer's state)
Brandon-Dixon Elevator Service, Inc. closed
United States Bankruptcy Court, E.D. Michigan · No. 97-31454 · Filed Jun 9, 1997 · Closed Jun 30, 2003
Role of Brandon-Dixon Elevator Service, Inc.: Party · Outcome: Case closed 2003-06-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in MI (not the issuer's state)
Brandt v. Millar Elevator Service Co. closed
United States Bankruptcy Court, N.D. Indiana · No. 97-06087 · Filed May 28, 1997 · Closed Feb 9, 1998
Role of Brandt v. Millar Elevator Service Co.: Party · Outcome: Case closed 1998-02-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in IN (not the issuer's state)
Henry Seals, Trustee v. Brandon-Dixon Elevator Service Inc. closed
United States Bankruptcy Court, N.D. Texas · No. 96-04231 · Filed Dec 20, 1996 · Closed Feb 1, 2000
Role of Henry Seals, Trustee v. Brandon-Dixon Elevator Service Inc.: Party · Outcome: Case closed 2000-02-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in TX (not the issuer's state)
Total Elevator Service, Inc. closed
United States Bankruptcy Court, D. New Jersey · No. 96-29116 · Filed Oct 10, 1996 · Closed Mar 29, 2001
Role of Total Elevator Service, Inc.: Party · Outcome: Case closed 2001-03-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in NJ (not the issuer's state)
Nunez Elevator Service Company, Inc. closed
United States Bankruptcy Court, S.D. California · No. 94-11346 · Filed Oct 26, 1994 · Closed Jul 21, 1995
Role of Nunez Elevator Service Company, Inc.: Party · Outcome: Case closed 1995-07-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in CA (not the issuer's state)
Nunez Elevator Service Company v. Brown closed
United States Bankruptcy Court, S.D. California · No. 94-90174 · Filed Mar 8, 1994 · Closed Dec 19, 1996
Role of Nunez Elevator Service Company v. Brown: Party · Outcome: Case closed 1996-12-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in CA (not the issuer's state)
Macauley v. Millar Elevator Service Co. closed
United States Bankruptcy Court, D. Massachusetts · No. 93-01620 · Filed Sep 7, 1993 · Closed Mar 7, 1994
Role of Macauley v. Millar Elevator Service Co.: Party · Outcome: Case closed 1994-03-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in MA (not the issuer's state)
Great Lakes Elevator Service, Ltd. closed
United States Bankruptcy Court, W.D. New York · No. 1-92-13687 · Filed Oct 29, 1992 · Closed Feb 16, 1993
Role of Great Lakes Elevator Service, Ltd.: Party · Outcome: Case closed 1993-02-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in NY (not the issuer's state)
ELEVATOR SERVICE, INC. closed
United States Bankruptcy Court, D. Delaware · No. 92-00918 · Filed Jul 17, 1992 · Closed Jul 10, 1996
Role of ELEVATOR SERVICE, INC.: Party · Outcome: Case closed 1996-07-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in DE (not the issuer's state)
Avtex Fibers Front Royal, Inc. v. Reid's Elevator Service & Sales, Inc. closed
United States Bankruptcy Court, E.D. Pennsylvania · No. 92-02107 · Filed Mar 23, 1992 · Closed Jul 9, 1992
Role of Avtex Fibers Front Royal, Inc. v. Reid's Elevator Service & Sales, Inc.: Party · Outcome: Case closed 1992-07-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in PA (not the issuer's state)
Meredith Elevator Service Co., Inc. closed
United States Bankruptcy Court, D. Massachusetts · No. 90-13886 · Filed Jul 20, 1990 · Closed Apr 25, 1991
Role of Meredith Elevator Service Co., Inc.: Party · Outcome: Case closed 1991-04-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in MA (not the issuer's state)
Swart Elevator Service Company, Inc. closed
United States Bankruptcy Court, W.D. New York · No. 1-87-10520 · Filed Mar 16, 1987 · Closed Apr 29, 1994
Role of Swart Elevator Service Company, Inc.: Party · Outcome: Case closed 1994-04-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in NY (not the issuer's state)
American Elevator & Service Co., Inc. closed
United States Bankruptcy Court, D. Massachusetts · No. 81-11872 · Filed Oct 16, 1981 · Closed Mar 31, 1988
Role of American Elevator & Service Co., Inc.: Party · Outcome: Case closed 1988-03-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in MA (not the issuer's state)
What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:16 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

4. Differences between public sources

No comparisons published

What is compared

No public statement by this sponsor group has been collected yet, so there is nothing to compare. Sources compared: the sponsor's own website (known from the issuer's own filings — Form C issuer website, EDGAR company profile — an approved profile claim or Form ADV Item 1.I of its matched adviser) · SEC Form D · SEC Form ADV (IAPD) · Internet Archive · No website is on file for this sponsor group yet.

1 difference found between the filings for Carroll (compared 14 filings on Oct 24, 2026)

Note · Nov 3, 2023 – Dec 19, 2023

4 role changes for the same people across filings

Brian F. Carroll's role changed at Carroll Capital ESI Investors, LLC: executive officer → executive officer, director · Brett McCay's role changed at Elevator Service Holdings, LLC: executive officer, director → director · Paul Raether's role changed at Elevator Service Holdings, LLC: director → executive officer, director · Jason Vallee's role changed at Elevator Service Holdings, LLC: executive officer, director → director

What this means Roles on Form D are self-reported. Ask who runs the company today.

Form D · Nov 3, 2023 ↗Form D · Dec 19, 2023 ↗Brian F. Carroll — PartnerFacts page ↗Carroll Capital ESI Investors, LLC — PartnerFacts page ↗
Sources
What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. As of Oct 24, 2026.

5. Money to insiders

None reported on 14 offerings — no sales commissions, finder's fees or proceeds to insiders

Per-offering detail
Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Sep 30, 2025 D
CC Plumbing Holdings, LLC
File 021-559306
$0$0$0None listed on this filingEDGAR ↗
Sep 30, 2025 D
CC Plumbing Investment, LLC
File 021-559301
$0$0$0None listed on this filingEDGAR ↗
Dec 19, 2023 D
Elevator Service Holdings, LLC
File 021-500176
$0$0$0None listed on this filingEDGAR ↗
Dec 19, 2023 D
Carroll Capital ESI Investment, LLC
File 021-500172
$0$0$0None listed on this filingEDGAR ↗
Dec 19, 2023 D
Carroll Capital ESI Investors, LLC
File 021-500181
$0$0$0None listed on this filingEDGAR ↗
Dec 19, 2023 D
St. Louis Holdco, Inc.
File 021-500192
$0$0$0None listed on this filingEDGAR ↗
Nov 3, 2023 D
Elevator Service Holdings, LLC
File 021-496451
$0$0$0None listed on this filingEDGAR ↗
Nov 3, 2023 D
Carroll Capital ESI Investment, LLC
File 021-496430
$0$0$0None listed on this filingEDGAR ↗
Nov 3, 2023 D
A-1 Holdco, Inc.
File 021-496461
$0$0$0None listed on this filingEDGAR ↗
Nov 3, 2023 D
Carroll Capital ESI Investors, LLC
File 021-496454
$0$0$0None listed on this filingEDGAR ↗
Nov 3, 2023 D
ESI Legacy Holdco, Inc.
File 021-496458
$0$0$0None listed on this filingEDGAR ↗
Sep 14, 2023 D
Elevator Service Holdings, LLC
File 021-492104
$0$0$0None listed on this filingEDGAR ↗
Sep 13, 2023 D
Carroll Capital ESI Investment, LLC
File 021-492048
$0$0$0None listed on this filingEDGAR ↗
Mar 31, 2022 D
Elevator Service Holdings, LLC
File 021-439896
$0$0$0None listed on this filingEDGAR ↗

Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Counted across all 8 issuers in this group — every filing in our index, latest filing per offering (SEC file number).

Property records 0 documents · 0 ownership records · last checked Oct 23, 2026, 8:59 PM ET · NYC and Cook County lookup still to run

0 recorded documents and 0 ownership records matched to Carroll in the sources searched.

Not found in sources searched as of Oct 23, 2026, 8:59 PM ET: Hillsborough County FL Clerk of Court Official Records daily index (publicrec.hillsclerk.com D/P/M files), 2 daily files (Oct 14, 2026 to Oct 15, 2026) — loaded Oct 23, 2026, 8:59 PM ET; Florida DOR NAL roll (Hillsborough 39) roll year 2026 — loaded Oct 23, 2026, 8:54 PM ET; Florida DOR NAL roll (Dade 23) roll year 2026 — loaded Oct 23, 2026, 8:58 PM ET; Harris County Appraisal District real_acct.txt roll year 2026 — loaded Oct 23, 2026, 8:58 PM ET; Dallas Central Appraisal District ACCOUNT_INFO.CSV roll year 2026 — loaded Oct 23, 2026, 8:58 PM ET. Still to be looked up for this group: NYC ACRIS via NYC Open Data (Real Property Parties 636b-3b5g, Master bnx9-e6tj, Legals 8h5j-fqxa, Document Control Codes 7isb-wh4c) · NYC PLUTO ownership via NYC Open Data (64uk-42ks) · Cook County IL Assessor via Cook County Open Data (Parcel Sales wvhk-k5uv; Parcel Addresses 3723-97qp). Records in other counties, and recorder indexes we do not yet cover, were not searched.

Property records coverage: New York City (ACRIS recorded documents and PLUTO ownership, looked up per issuer when its page is viewed; re-checked when the page is viewed again more than 30 days after the last check); Hillsborough County FL (recorded documents from Oct 14, 2026 forward; ownership from FL DOR roll 2026); Cook County IL (assessor ownership and deed/sale records, looked up per issuer when its page is viewed); Harris County TX and Dallas County TX (assessor ownership rolls only, 2026 roll; no deed, mortgage or sale records); Miami-Dade County FL (ownership from FL DOR roll only; Clerk recorded documents not covered). Recorder indexes for TX, AZ, IL and WA counties, mortgages and liens outside NYC and FL, lis pendens and foreclosure notices everywhere, Miami-Dade County FL recorded documents, Maricopa County AZ, King County WA, Salt Lake County UT, and all other counties are not covered — not searched. Last refresh by source: Hillsborough County FL Clerk daily index Oct 23, 2026, 8:59 PM ET; Dallas Central Appraisal District ACCOUNT_INFO.CSV Oct 23, 2026, 8:58 PM ET; Harris County Appraisal District real_acct.txt Oct 23, 2026, 8:58 PM ET; Florida DOR NAL roll (Dade 23) Oct 23, 2026, 8:58 PM ET; Florida DOR NAL roll (Hillsborough 39) Oct 23, 2026, 8:54 PM ET. NYC and Cook County are looked up per issuer when its page is viewed; the most recent such lookup on this site finished Oct 24, 2026, 3:30 AM ET. Parties are named as the recorder's index names them (role suffixes as recorded); no address, account number or trust date is shown for an individual, and individual owners of record (home ownership) are not matched or shown. Items still in human review are not shown.

Issuers in this group

Why each issuer is here is stated in the "Linked by" column. Low-confidence links are never shown — they wait for human review.

SourceIssuerLinked byLocationIndustryFilingsSold (max)InvestorsMin. investment (latest filing)Active
EDGAR ↗ES Elevator Service Holdings, LLCshared people, same business addressGREENWICH, CTOther4$28,295,000
offering $9,500,000 · similar: $500,000–$7,000,000
5
similar: 2–14
No minimum reported
similar: $5,000–$50,000
2022–2023
EDGAR ↗CC Carroll Capital ESI Investment, LLCshared people, same business address, similar issuer namesGREENWICH, CTOther3$9,295,000
offering $5,166,379 · similar: $500,000–$7,000,000
6
similar: 2–14
No minimum reported
similar: $5,000–$50,000
2023–2023
EDGAR ↗A1 A-1 Holdco, Inc.shared people, same business addressGREENWICH, CTOther1$28,295,000
offering $28,295,000 · similar: $500,000–$7,000,000
1
similar: 2–14
No minimum reported
similar: $5,000–$50,000
2023–2023
EDGAR ↗CC Carroll Capital ESI Investors, LLCshared people, same business address, similar issuer namesGREENWICH, CTOther2$7,000,000
offering $896,528 · similar: $500,000–$7,000,000
4
similar: 2–14
No minimum reported
similar: $5,000–$50,000
2023–2023
EDGAR ↗EL ESI Legacy Holdco, Inc.shared people, same business addressGREENWICH, CTOther1$34,174,806
offering $34,174,806 · similar: $500,000–$7,000,000
1
similar: 2–14
No minimum reported
similar: $5,000–$50,000
2023–2023
EDGAR ↗SL St. Louis Holdco, Inc.shared people, same business addressGREENWICH, CTOther1$13,356,000
offering $13,356,000 · similar: $500,000–$7,000,000
1
similar: 2–14
No minimum reported
similar: $5,000–$50,000
2023–2023
EDGAR ↗CP CC Plumbing Holdings, LLCshared people, same business address, similar issuer namesGREENWICH, CTOther1$12,497,135
offering $12,497,135 · similar: $500,000–$7,000,000
2
similar: 2–14
No minimum reported
similar: $5,000–$50,000
2025–2025
EDGAR ↗CP CC Plumbing Investment, LLCshared people, same business address, similar issuer namesGREENWICH, CTOther1$10,097,708
offering $10,097,708 · similar: $500,000–$7,000,000
4
similar: 2–14
No minimum reported
similar: $5,000–$50,000
2025–2025

"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Other / 506(b) (18,678 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

Timeline of offerings

SourceFiledIssuerFormIndustryOfferedSold
EDGAR ↗Sep 30, 2025CC Plumbing Investment, LLCDOther$10,097,708$10,097,708
EDGAR ↗Sep 30, 2025CC Plumbing Holdings, LLCDOther$12,497,135$12,497,135
EDGAR ↗Dec 19, 2023St. Louis Holdco, Inc.DOther$13,356,000$13,356,000
EDGAR ↗Dec 19, 2023Carroll Capital ESI Investors, LLCDOther$896,528$896,528
EDGAR ↗Dec 19, 2023Carroll Capital ESI Investment, LLCDOther$5,166,379$5,166,379
EDGAR ↗Dec 19, 2023Elevator Service Holdings, LLCDOther$9,500,000$9,500,000
EDGAR ↗Nov 3, 2023ESI Legacy Holdco, Inc.DOther$34,174,806$34,174,806
EDGAR ↗Nov 3, 2023Carroll Capital ESI Investors, LLCDOther$7,000,000$7,000,000
EDGAR ↗Nov 3, 2023A-1 Holdco, Inc.DOther$28,295,000$28,295,000
EDGAR ↗Nov 3, 2023Carroll Capital ESI Investment, LLCDOther$9,295,000$9,295,000
EDGAR ↗Nov 3, 2023Elevator Service Holdings, LLCDOther$28,295,000$28,295,000
EDGAR ↗Sep 14, 2023Elevator Service Holdings, LLCDOther$1,250,000$1,250,000
EDGAR ↗Sep 13, 2023Carroll Capital ESI Investment, LLCDOther$1,250,000$1,250,000
EDGAR ↗Mar 31, 2022Elevator Service Holdings, LLCDOther$6,700,000$6,700,000

Activity: 0 new offerings in the last 12 months across all issuers in this group (new offering = a Form D that is not an amendment, D/A) · most recent filing Sep 30, 2025. Industry history, as reported on each offering's latest filing: All 14 offerings reported: Other (2022–2025).

People across the group

NameRolesIssuers hereFirst → last listed
BC Brian F. CarrollExecutive Officer, Director8Mar 31, 2022 → Sep 30, 2025
LH Lin HeExecutive Officer, Director4Mar 31, 2022 → Sep 30, 2025
IR Ian RondaExecutive Officer, Director4Nov 3, 2023 → Sep 30, 2025
BM Brett McCayExecutive Officer, Director3Mar 31, 2022 → Dec 19, 2023
FM Fernando MaddockDirector3Nov 3, 2023 → Dec 19, 2023
PR Paul RaetherDirector3Nov 3, 2023 → Dec 19, 2023
JV Jason ValleeExecutive Officer, Director3Nov 3, 2023 → Dec 19, 2023
MC Merrill CrawfordDirector1Sep 30, 2025 → Sep 30, 2025
FC F. Carroll Capital, LLC entityDirector1Sep 30, 2025 → Sep 30, 2025
DB Daniel BarbrickExecutive Officer, Director1Mar 31, 2022 → Sep 14, 2023

Adviser registration (Form ADV)

Searched SEC Form ADV bulk data (registered + exempt reporting advisers) (24,962 records as of Oct 2, 2026, 8:00 AM ET) — nothing matched Carroll.

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Other offering types (Regulation A and Regulation Crowdfunding)

Searched SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.

Public profiles and social

No website or social profile named in Carroll's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #114,293 of 374,652 in line (67 issuers searched so far). One-tap searches: Look further ↓

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