This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Firm class

independent wealth managerderivedprivate_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0

Regulatory AUM

$382MItem 5.F on the latest filing (2026-03-05); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$332M

Private client RAUM

$373MderivedItem 5.D individuals plus high net worth individuals

Private client share

98%derivedprivate client RAUM over total RAUM

Advisors on IAPD

5

RAUM per advisor

$76.4Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book

Employees

9

Advisory employees

6

Offices

2Schedule D 1.F, beyond the principal office

Accounts

2,257

Individual clients

777

High net worth clients

49

Custody, client assets

$118M

SEC number

801-118263

CRD

301025

Filings on the tape

32

First filed

Feb 19, 2020

Latest filed

Mar 5, 2026

Organised

Corporation, IL

• Occurred

  Feb 19, 2020
  First Form ADV filing

  Carter Financial Group, Inc. filed its initial SEC registration (Form ADV)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:aee39a68-baa6-3dd1-7906-64e0b3fc3c72

First observed

Feb 19, 2020

Last observed

Mar 5, 2026 6 months ago

Source families

Federal regulator filings

3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.