DFX Intelligence

Data Factory

RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 1b 10b

CARRET ASSET MANAGEMENT, LLC

CRD 131445

NEW YORK, NY

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:e3d6545e-4a2c-87cf-3607-d71e350a9a08

Data as of Jun 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 4
On other graphs: 0
Observed: Dec 22, 2011 to Jun 10, 2026
44 observations

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

Firm class: mixed wealth managerderivedprivate_client_share=0.41 fund_share=0.51 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $3.5BItem 5.F on the latest filing (2026-06-10); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $3.5B
Private client RAUM: $1.4BderivedItem 5.D individuals plus high net worth individuals
Private client share: 41%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 11
RAUM per advisor: $315Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 22
Advisory employees: 10
Offices: 6Schedule D 1.F, beyond the principal office
Accounts: 2,633
Individual clients: 854
High net worth clients: 367
Custody, client assets: $565M
SEC number: 801-63093
CIK: 791490
CRD: 131445
Filings on the tape: 44
First filed: Dec 22, 2011
Latest filed: Jun 10, 2026
Organised: Limited Liability Company, DE
Website: carret.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
DAVID PARKER PEARSON	n/a	NEW YORK, NY	22	39	1	no
JASON RICHARD GRAYBILL	Chartered Financial Analyst	NEW YORK, NY \| Denver, CO	8	24	1	no
WAYNE STANLEY REISNER	n/a	NEW YORK, NY	5	22	1	no
JACK CHARLES KAPLAN	Chartered Financial Analyst	NEW YORK, NY	5	24	1	no
ELIZABETH ANNE NEWBERRY	Chartered Financial Analyst	NEW YORK, NY	5	23	1	no
Franklin Levering	Chartered Financial Analyst	DENVER, CO	5	14	n/a	no
NEIL DOUGLAS KLEIN	n/a	NEW YORK, NY	5	37	2	no
LAURENCE RICHARD GOLDING	n/a	NEW YORK, NY	5	25	n/a	no
TODD RICHARD FLIEGEL	Chartered Financial Analyst	NEW YORK, NY	5	22	1	no
Brendan Edward Devine	n/a	ENGLEWOOD, NJ \| NEW YORK, NY	2	13	n/a	no
Matthew Ellis Behrman	n/a	New York, NY	2	10	n/a	no

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
CARRET GLOBAL FUND LDC	Other Private Fund	$13.5M	Jul 11, 2013	28	Mar 29, 2012	dropped	n/a

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CARRET HOLDINGS, INC.	Member	E	yes	02/2019	Jun 10, 2026	Jun 10, 2026
VEGA, MARCO, ANTONIO	PRESIDENT / CCO MANAGING DIRECTOR MANAGING DIRECTOR MANAGING DIRECTOR	Na	yes	09/2005	Jun 10, 2026	Jun 10, 2026
REISNER, WAYNE, STANLEY	PRINCIPAL, SENIOR MANAGING DIRECTOR	Na	yes	09/2005	Dec 22, 2011	Apr 4, 2024
SBI GLOBAL ASSET MANAGEMENT CO., LTD. (JAPAN)	Shareholder	D	yes	01/2020	Mar 29, 2023	Apr 4, 2024
SBI HOLDINGS, INC. JAPAN	Shareholder	E	yes	02/2022	Mar 31, 2022	Apr 4, 2024
GRAYBILL, JASON, RICHARD	PRINCIPAL, SENIOR MANAGING DIRECTOR	Na	no	01/2014	Mar 31, 2014	Apr 4, 2024
KLEIN, NEIL, DOUGLAS	PRINCIPAL, SENIOR MANAGING DIRECTOR	Na	no	01/2014	Mar 31, 2014	Apr 4, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Denver	Co	United States	3	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026	$3.5B	$3.5B	22	10	6	n/a	n/a
2024	Mar 31, 2025	$3.2B	$3.2B	22	10	7	n/a	n/a
2023	Mar 29, 2024	$3.1B	$3.1B	23	11	7	n/a	n/a
2022	Mar 29, 2023	$3.0B	$3.0B	24	12	7	n/a	n/a
2021	Mar 31, 2022	$3.4B	$3.4B	22	11	7	n/a	n/a
2020	Mar 30, 2021	$3.1B	$3.1B	23	11	1	n/a	n/a
2019	Mar 30, 2020	$3.0B	$2.9B	21	10	1	n/a	n/a
2018	Mar 28, 2019	$2.5B	$2.5B	20	10	1	n/a	n/a
2017	Mar 28, 2018	$2.6B	$2.6B	21	11	1	n/a	n/a
2016	Mar 30, 2017	$2.4B	$2.4B	21	10	n/a	n/a	n/a
2015	Mar 31, 2016	$1.9B	$1.9B	21	10	n/a	n/a	n/a
2014	Mar 31, 2015	$1.9B	$1.9B	21	10	n/a	n/a	n/a
2013	Mar 31, 2014	$1.8B	$1.7B	21	10	n/a	n/a	n/a
2012	Mar 28, 2013	$1.8B	$1.8B	22	10	n/a	1	$13.5M
2011	Mar 29, 2012	$1.5B	$1.5B	n/a	n/a	n/a	1	$11.4M

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	1	-1	9.1%	0	0	0	0	1

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$3.5B	$3.2B	7.0%	$3.0B	4.6%	22	22	6	7

Relationships

Registered with (15)

← Matthew Ellis BehrmanAdvisorregistration: current employment
Aug 23, 2024 to presentfactForm ADV
← Brendan Edward DevineAdvisorregistration: current employment
Nov 22, 2023 to presentfactForm ADV
← TODD RICHARD FLIEGELAdvisorregistration: current employment
Jun 24, 2021 to presentfactForm ADV
← NEIL DOUGLAS KLEINAdvisorregistration: current employment
Jun 12, 2021 to presentfactForm ADV
← LAURENCE RICHARD GOLDINGAdvisorregistration: current employment
Jun 12, 2021 to presentfactForm ADV
← JACK CHARLES KAPLANAdvisorregistration: current employment
Jun 8, 2021 to presentfactForm ADV
← ELIZABETH ANNE NEWBERRYAdvisorregistration: current employment
Jun 8, 2021 to presentfactForm ADV
← Franklin LeveringAdvisorregistration: current employment
Jun 8, 2021 to presentfactForm ADV
← WAYNE STANLEY REISNERAdvisorregistration: current employment
May 26, 2021 to presentfactForm ADV
← JASON RICHARD GRAYBILLAdvisorregistration: current employment
Mar 28, 2018 to presentfactForm ADV
← DAVID PARKER PEARSONAdvisorregistration: current employment
Jun 7, 2004 to presentfactForm ADV
← Anthony SneagAdvisorregistration: previous registration
Sep 17, 2025 to Dec 1, 2025factForm ADV
← John Helme DunnAdvisorregistration: previous registration
Jul 6, 2021 to Aug 3, 2023factForm ADV
← RICHARD STEPHEN BARTHOLOWAdvisorregistration: previous registration
Jun 7, 2004 to Jan 14, 2010factForm ADV
← LINDA HOPE SUTKINAdvisorregistration: previous registration
Jun 7, 2004 to Jan 7, 2010factForm ADV

Owns (2)

← KLEIN, NEIL, DOUGLASOwnerPRINCIPAL, SENIOR MANAGING DIRECTOR, ownership code NA, individual
Mar 31, 2014 to Apr 4, 2024factForm ADV
← GRAYBILL, JASON, RICHARDOwnerPRINCIPAL, SENIOR MANAGING DIRECTOR, ownership code NA, individual
Mar 31, 2014 to Apr 4, 2024factForm ADV

Controls (5)

← VEGA, MARCO, ANTONIOOwnerPRESIDENT / CCO, ownership code NA, individual
Dec 22, 2011 to Apr 4, 2024factForm ADV
← REISNER, WAYNE, STANLEYOwnerPRINCIPAL, SENIOR MANAGING DIRECTOR, ownership code NA, individual
Dec 22, 2011 to Apr 4, 2024factForm ADV
← CARRET HOLDINGS, INC.OwnerMEMBER, ownership code E, domestic entity
Dec 22, 2011 to Apr 4, 2024factForm ADV
← SBI GLOBAL ASSET MANAGEMENT CO., LTD. (JAPAN)OwnerSHAREHOLDER, ownership code D, foreign entity
Mar 29, 2023 to Apr 4, 2024factForm ADV
← SBI HOLDINGS, INC. JAPANOwnerSHAREHOLDER, ownership code E, foreign entity
Mar 31, 2022 to Apr 4, 2024factForm ADV

Advises (1)

→ CARRET GLOBAL FUND LDCPrivate fundOther Private Fund, IA, no longer reported
Mar 29, 2012 to Jul 11, 2013factForm ADV

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Dec 1, 2025
Advisor changed firm
Anthony Sneag left Carret Asset Management, Llc for Ubs Financial Services Inc. (registered 2025-11-26)
Form ADVobserved 4 days ago
Occurred
Aug 3, 2023
Advisor changed firm
John Helme Dunn left Carret Asset Management, Llc for J.P. Morgan Securities Llc (registered 2023-12-21)
Form ADVobserved 4 days ago

Show 2 bookkeeping events

Occurred
Mar 29, 2024
Carret Asset Management, Llc reported 0 state-registered advisory representatives, down from 11 (2023-04-20 to 2024-03-29)
Occurred
Mar 31, 2022
Carret Asset Management, Llc reported 7 offices beyond its principal office, up from 1 (2021-07-22 to 2022-03-31)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e3d6545e-4a2c-87cf-3607-d71e350a9a08
First observed: Dec 22, 2011
Last observed: Jun 10, 2026 3 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.

CARRET ASSET MANAGEMENT, LLC

CRD 131445

NEW YORK, NY

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:e3d6545e-4a2c-87cf-3607-d71e350a9a08

Data as of Jun 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:58 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

DAVID PARKER PEARSON

n/a

NEW YORK, NY

JASON RICHARD GRAYBILL

Chartered Financial Analyst

NEW YORK, NY | Denver, CO

WAYNE STANLEY REISNER

n/a

NEW YORK, NY

JACK CHARLES KAPLAN

Chartered Financial Analyst

NEW YORK, NY

ELIZABETH ANNE NEWBERRY

Chartered Financial Analyst

NEW YORK, NY

Franklin Levering

Chartered Financial Analyst

DENVER, CO

n/a

NEIL DOUGLAS KLEIN

n/a

NEW YORK, NY

LAURENCE RICHARD GOLDING

n/a

NEW YORK, NY

n/a

TODD RICHARD FLIEGEL

Chartered Financial Analyst

NEW YORK, NY

Brendan Edward Devine

n/a

ENGLEWOOD, NJ | NEW YORK, NY

n/a

Matthew Ellis Behrman

n/a

New York, NY

n/a

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

CARRET GLOBAL FUND LDC

Other Private Fund

$13.5M

Jul 11, 2013

Mar 29, 2012

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CARRET HOLDINGS, INC.

Member

yes

02/2019

Jun 10, 2026

VEGA, MARCO, ANTONIO

PRESIDENT / CCO MANAGING DIRECTOR MANAGING DIRECTOR MANAGING DIRECTOR

yes

09/2005

Jun 10, 2026

REISNER, WAYNE, STANLEY

PRINCIPAL, SENIOR MANAGING DIRECTOR

yes

09/2005

Dec 22, 2011

Apr 4, 2024

SBI GLOBAL ASSET MANAGEMENT CO., LTD. (JAPAN)

Shareholder

yes

01/2020

Mar 29, 2023

Apr 4, 2024

SBI HOLDINGS, INC. JAPAN

Shareholder

yes

02/2022

Mar 31, 2022

Apr 4, 2024

GRAYBILL, JASON, RICHARD

PRINCIPAL, SENIOR MANAGING DIRECTOR

01/2014

Mar 31, 2014

Apr 4, 2024

KLEIN, NEIL, DOUGLAS

PRINCIPAL, SENIOR MANAGING DIRECTOR

01/2014

Mar 31, 2014

Apr 4, 2024

City

State

Country

Employees

Also broker-dealer

Denver

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$3.5B

n/a

2024

Mar 31, 2025

$3.2B

n/a

2023

Mar 29, 2024

$3.1B

n/a

2022

Mar 29, 2023

$3.0B

n/a

2021

Mar 31, 2022

$3.4B

n/a

2020

Mar 30, 2021

$3.1B

n/a

2019

Mar 30, 2020

$3.0B

$2.9B

n/a

2018

Mar 28, 2019

$2.5B

n/a

2017

Mar 28, 2018

$2.6B

n/a

2016

Mar 30, 2017

$2.4B

n/a

2015

Mar 31, 2016

$1.9B

n/a

2014

Mar 31, 2015

$1.9B

n/a

2013

Mar 31, 2014

$1.8B

$1.7B

n/a

2012

Mar 28, 2013

$1.8B

n/a

$13.5M

2011

Mar 29, 2012

$1.5B

n/a

$11.4M

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-1

9.1%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$3.5B

$3.2B

7.0%

$3.0B

4.6%