DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

Robert Montgomery Carter

Advisor at CAPITAL CLIENT GROUP, INC.

Highland Park , CA | Los Angeles, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:dffa6a42-ff73-45fb-7795-0f36a72becde

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Aug 30, 2018 to Sep 15, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CAPITAL CLIENT GROUP, INC.
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1
Current registrations: 1
Registered states: 1
Exams: S66|S63|S65
First exam: Aug 17, 2017
First registration: Aug 30, 2018
Dual registered: yes, broker-dealer
Other names: ROBERT M CARTER
IAPD individual key: 6961244

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CAPITAL CLIENT GROUP, INC.	No RAUM reported	Aug 28, 2026	n/a	yes	Highland Park , CA\|Los Angeles, CA	Current employment
SMEAD CAPITAL MANAGEMENT, INC.	Asset manager	Aug 30, 2018	Dec 31, 2023	no	PHOENIX, AZ\|W. Conshohocken, PA\|PHOENIX, AZ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SMEAD CAPITAL MANAGEMENT, INC.	CAPITAL CLIENT GROUP, INC.	Dec 31, 2023	Aug 28, 2026	971	Firm change after gap	Other

Relationships

Registered with (2)

→ CAPITAL CLIENT GROUP, INC.Registered adviserregistration: current employment
Aug 28, 2026 to presentfactForm ADV
→ SMEAD CAPITAL MANAGEMENT, INC.Registered adviserregistration: previous registration
Aug 30, 2018 to Dec 31, 2023factForm ADV

Dated events

Occurred
Dec 31, 2023
Advisor changed firm
Robert Montgomery Carter left Smead Capital Management, Inc. for Capital Client Group, Inc. (registered 2026-08-28)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dffa6a42-ff73-45fb-7795-0f36a72becde
First observed: Aug 30, 2018
Last observed: Sep 15, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed 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.

Robert Montgomery Carter

Advisor at CAPITAL CLIENT GROUP, INC.

Highland Park , CA | Los Angeles, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:dffa6a42-ff73-45fb-7795-0f36a72becde

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:21 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

CAPITAL CLIENT GROUP, INC.

No RAUM reported

Aug 28, 2026

n/a

yes

Highland Park , CA|Los Angeles, CA

Current employment

SMEAD CAPITAL MANAGEMENT, INC.

Asset manager

Aug 30, 2018

Dec 31, 2023

PHOENIX, AZ|W. Conshohocken, PA|PHOENIX, AZ

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

SMEAD CAPITAL MANAGEMENT, INC.

CAPITAL CLIENT GROUP, INC.

Dec 31, 2023

Aug 28, 2026

971

Firm change after gap

Other