DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Carter Advisory Services, Inc

STATE REGISTEREDDallas, TexasCRD 116249SEC 801-60727websiteIAPD
Latest filing Jul 22, 2026
First filing on the tape Jul 22, 2026 · 1 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Jul 22, 2026; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
11.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
hourly, fixed feesreportedItem 5.E
Advisory activities
financial planningreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, hourlyreported
Class basis
on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
10 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Bill Edward CarterChartered Financial ConsultantDallas, TxJul 1, 199345 y1
Kathleen Anne MuldoonCertified Financial PlannerDallas, Tx Jul 12, 199543 y0
Jonathan Richard MeaneyCertified Financial PlannerDallas, Tx May 9, 200724 y1
John Tyler RussellCertified Financial PlannerRichardson, Tx Jan 4, 201118 y0
Lori Ann PetersCertified Financial PlannerDallas, Tx Feb 25, 201120 y2
Robert Aaron HaysCertified Financial PlannerDallas, Tx Nov 5, 201414 y1
Deborah Ann Lemoine-HickeyCertified Financial PlannerDallas, Tx Feb 18, 201512 y0
Ellenore Knight BakerCertified Financial PlannerPark City, Ut May 26, 201612 y1
Joseph Francis MeylorCertified Financial PlannerPlano, Tx Aug 10, 202010 y3
Daniel Joshua SwainCertified Financial PlannerDallas, Tx Aug 21, 202311 y2
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Dallas, Tx · principal1000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
2 dated events
  • William Cullen Ferguson left Carter Advisory Services, Inc for Focus Partners Wealth, Llc (registered 2025-07-23)
    Jul 23, 2025 · Advisor changed firm · fact
  • Joel Carlton Berg left Carter Advisory Services, Inc for Robert W. Baird & Co. Incorporated (registered 2023-10-25)
    Oct 24, 2023 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
Firm profile
linkedin.com/company/carter-financial-managementreportedpublic record, Form ADV, Sep 17, 2026
Website
CARTERWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
214-363-4200reportedpublic record, Form ADV, Jul 22, 2026
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
STATE REGISTEREDderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 15, 2026