CARTER FINANCIAL GROUP, INC.
Adviser information for CARTER FINANCIAL GROUP, INC. last updated from Form ADV on March 5th, 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 | Illinois, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 6 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,666 | $246.4M |
| Non-Discretionary | 320 | $44.6M |
| Total | 1,986 | $291.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 745 | $118.7M |
| HNW Individuals | 72 | $162.3M |
| 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 | <5 | $2.3M |
| 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 | $7.6M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed feesCommissions |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-118263 |
|---|---|
| SEC ERA File Number | 801-118263 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 301025 |
| Legal Entity Identifier | None |
Principal Office
200 N. NORTHWEST HIGHWAYBARRINGTON
IL
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 847-713-2700, Fax: None
Chief Compliance Officer
GERY SADZEWICZ
CHIEF COMPLIANCE OFFICER
5205 BROOKSHIRE ESTATES DRIVE
PLAINFIELD
IL
United States
Tel:
815-782-1250
G***@*************************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 |
|---|---|---|---|---|---|
| HAGAN, STEPHANIE, LEIGH | Individual | – | MEMBER | 10/2019 | 5-10% |
| SADZEWICZ, GERY, JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2019 | < 5% |
| CARTER, KEVIN, KENNETH | Individual | – | PRESIDENT | 10/2019 | > 75% |
| KARCH, JENNIFER, ANN | Individual | – | MEMBER | 01/2018 | < 5% |