CARR FINANCIAL GROUP
CARR FINANCIAL GROUP CORPORATION Legal Name
Adviser information for CARR FINANCIAL GROUP last updated from Form ADV on February 1st, 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 | Massachusetts, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 4 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,277 | $549.4M |
| Non-Discretionary | 6 | $4.3M |
| Total | 1,283 | $553.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 376 | $133.8M |
| HNW Individuals | 113 | $413.8M |
| 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 | 1 | $3.2M |
| 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 | 2 | $2.8M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Insurance broker or agent |
Principal Office
20 PARK AVENUESTE #201
WORCESTER
MA
United States
Monday - Friday, 8:30AM - 4:30PM
Tel: (508) 795-0264, Fax: (508) 422-0056
Chief Compliance Officer
BENJAMIN W. CAULEY
FINANCIAL PLANNER
20 PARK AVENUE
SUITE #201
WORCESTER
MA
United States
Tel:
(508) 795-0264
Fax:
(508) 422-0056
B**@****************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 |
|---|---|---|---|---|---|
| CAULEY, BENJAMIN, WILLIAM | Individual | – | CHIEF COMPLIANCE OFFICER AND TREASURER | 01/2022 | 10-25% |
| CARR, RICHARD, MICHAEL | Individual | – | PRESIDENT | 11/2019 | > 75% |
| LUCEY, ANDREA, LYNNE | Individual | – | SECRETARY | 10/2023 | 10-25% |