CARTER, TERRY & COMPANY, INC.
Adviser information for CARTER, TERRY & COMPANY, INC. last updated from Form ADV on March 18th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Georgia, United States |
Employees
| Total Number of Employees | 41 |
|---|---|
| Investment Advisory/Research | 19 |
| Registered Broker-Dealer Representatives | 41 |
| Registered State Investment Advisers | 19 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 48 | $32.3M |
| Non-Discretionary | 151 | $82.2M |
| Total | 199 | $114.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 122 | $26.2M |
| HNW Individuals | 69 | $77.1M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 2 | $1.5M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 6 | $9.6M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Broker-dealer |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 80.9M |
| Portfolio Manager | 80.9M |
| Both for Same | 80.9M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| RBC ADVISOR PROGRAM | RBC CAPITAL MARKETS, LLC |
Identifiers
| SEC RIA File Number | 801-113129 |
|---|---|
| SEC ERA File Number | 801-113129 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 16365 |
| Legal Entity Identifier | None |
Principal Office
3060 PEACHTREE RD NWSUITE 1200
ATLANTA
GA
United States
Monday - Friday, 8:00AM TO 5:00PM
Tel: 404-364-2070, Fax: 404-364-2079
Websites
Chief Compliance Officer
KRISTIN MONTET
CFO/CCO
3060 PEACHTREE ROAD, NW
SUITE 1200
ATLANTA
GA
United States
Tel:
404-364-2070
Fax:
404-364-2079
K******@**************M
(Full email address available in API data)
Regulatory Contact
TIMOTHY TERRY
PRESIDENT
3060 PEACHTREE ROAD, NW SUITE 1200
ATLANTA
GA
United States
Tel:
404-364-2057
Fax:
404-364-2079
T*****@**************M
(Full email address available in API data)
Industry Affiliates
| CARTER, TERRY & COMPANY, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CARTER, BELFIELD HOWELL JR | Individual | – | GS / CHAIRMAN | 01/1991 | < 5% |
| MONTET, KRISTIN WALSH | Individual | – | SROP/ CROP / MP/ MS/ GS / FN / CFO/CCO | 04/1988 | < 5% |
| FIRST ATLANTA FINANCIAL SERVICES, INC. | Domestic Entity | – | OWNER | 03/1996 | > 75% |
| CARTER, BELFIELD HOWELL | Individual | FIRST ATLANTA FINANCIAL SERVICES, INC | COMMON SHAREHOLDER | 03/1996 | 25-50% |
| ATTKISSON CARTER &COMPANY ESOP | Domestic Entity | FIRST ATLANTA FINANCIAL SERVICES, INC | COMMON SHAREHOLDER | 01/2001 | 50-75% |
| TERRY, TIMOTHY JOE | Individual | – | PRESIDENT/CEO | 09/2002 | < 5% |