CARTER FINANCIAL, LLC
Adviser information for CARTER FINANCIAL, LLC last updated from Form ADV on March 25th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 558 | $222.3M |
| Non-Discretionary | 2 | $932,599 |
| Total | 560 | $223.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 66 | $7.7M |
| HNW Individuals | 108 | $214.8M |
| 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 | 0 | $0 |
| 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 | <5 | $819,479 |
| 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 | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-117265 |
|---|---|
| SEC ERA File Number | 801-117265 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 298327 |
| Legal Entity Identifier | None |
Principal Office
4225 EXECUTIVE SQUARESUITE 1030
LA JOLLA
CA
United States
Monday - Friday, 7:30AM-5:00PM
Tel: 858-678-0579, Fax: None
Chief Compliance Officer
CHRISTINA HAMMANN
FINANCIAL PLANNING MANAGER
4225 EXECUTIVE SQUARE
STE 1030
LA JOLLA
CA
United States
Tel:
858-678-0578
C********@*********************M
(Full email address available in API data)
Regulatory Contact
STEVEN CARTER
PRINCIPAL AND FINANCIAL ADVISER
4225 EXECUTIVE SQUARE
STE 1030
LA JOLLA
CA
United States
Tel:
858-678-0578
S****@*********************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CARTER, STEVEN, FREDERICK | Individual | – | PRINCIPAL AND FINANCIAL PLANNING MANAGER | 08/2019 | > 75% |
| Hammann, CHRISTINA, MICHELLE | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2019 | 25-50% |