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.
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SEC-registered adviser
C••••• F••••••••• L••
Latest filing Jul 8, 2026
First filing on the tape Jul 30, 2019 · 18 filings
SEC status approved since Aug 29, 2019
RAUM
$282M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$281M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$141M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$282M as of Jul 8, 2026
Feb 7, 2020$204M then
HNW client RAUM$267M as of Jul 8, 2026
Feb 7, 2020$188M then
State-registered IARs (5.B.3)3 as of Jul 8, 2026
Feb 7, 20202 then
Employees (5.A)3 as of Jul 8, 2026
Feb 7, 20204 then
Private funds: no history
RAUM +12% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jul 8, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $141MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 89derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $577,287derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $166M, 129 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$267M94%
- Individuals$14.4M5.1%
- Corporations and businesses$1.3M0.5%
- Individual clients
- 71reported
- HNW clients
- 106reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 489reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $166M for 129 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••••• M••••••• H••••••Certified Financial Planner | La Jolla, Ca | Sep 11, 2019 | 12 y | 2 |
| H•••••• Q•••••••Certified Financial Planner | La Jolla, Ca | Jul 22, 2020 | 13 y | 3 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- H•••••• Q••••••• from W•••• F•••• A•••••••Jul 22, 2020 · Wirehouse to independent RIA
- C•••••••• M••••••• H•••••• from C••••• C•••• W•••••• L••Sep 11, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• S•••••• F•••••••• · Principal And Financial Planning Managercontrolsince 08/2019 · owns 75% or more
- H••••••• C••••••••• M••••••• · Chief Compliance Officercontrolsince 08/2019 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| La Jolla, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 536 to 489Mar 24, 2025 to Mar 25, 2026
- HNW clients · 109 to 106Mar 24, 2025 to Mar 25, 2026
- Individual clients · 51 to 71Mar 24, 2025 to Mar 25, 2026
- Assets in custody · $152M to $166MMar 24, 2025 to Mar 25, 2026
- Discretionary RAUM · $252M to $282MMar 24, 2025 to Mar 25, 2026
- HNW RAUM · $239M to $267MMar 24, 2025 to Mar 25, 2026
- Individual RAUM · $11.9M to $14.4MMar 24, 2025 to Mar 25, 2026
- RAUM · $252M to $282MMar 24, 2025 to Mar 25, 2026
- Accounts · 560 to 536May 2, 2024 to Mar 24, 2025
- HNW clients · 108 to 109May 2, 2024 to Mar 24, 2025
- Individual clients · 66 to 51May 2, 2024 to Mar 24, 2025
- Assets in custody · $141M to $152MMay 2, 2024 to Mar 24, 2025
- Financial planning clients · 0 to 0May 2, 2024 to Mar 24, 2025
- Discretionary RAUM · $222M to $252MMay 2, 2024 to Mar 24, 2025
- HNW RAUM · $215M to $239MMay 2, 2024 to Mar 24, 2025
- Individual RAUM · $7.7M to $11.9MMay 2, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $932,599 to $0May 2, 2024 to Mar 24, 2025
- RAUM · $223M to $252MMay 2, 2024 to Mar 24, 2025
- Accounts · 514 to 560Mar 27, 2023 to Mar 6, 2024
- HNW clients · 98 to 108Mar 27, 2023 to Mar 6, 2024
- Individual clients · 82 to 66Mar 27, 2023 to Mar 6, 2024
- Assets in custody · $110M to $141MMar 27, 2023 to Mar 6, 2024
- Discretionary RAUM · $190M to $222MMar 27, 2023 to Mar 6, 2024
- HNW RAUM · $172M to $215MMar 27, 2023 to Mar 6, 2024
- Individual RAUM · $17.2M to $7.7MMar 27, 2023 to Mar 6, 2024
- Non-discretionary RAUM · $958,688 to $932,599Mar 27, 2023 to Mar 6, 2024
- RAUM · $191M to $223MMar 27, 2023 to Mar 6, 2024
- Accounts · 540 to 514Mar 14, 2022 to Mar 27, 2023
- HNW clients · 117 to 98Mar 14, 2022 to Mar 27, 2023
- Individual clients · 71 to 82Mar 14, 2022 to Mar 27, 2023
- Assets in custody · $175M to $110MMar 14, 2022 to Mar 27, 2023
- Discretionary RAUM · $238M to $190MMar 14, 2022 to Mar 27, 2023
- HNW RAUM · $224M to $172MMar 14, 2022 to Mar 27, 2023
- Individual RAUM · $14.3M to $17.2MMar 14, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $1.2M to $958,688Mar 14, 2022 to Mar 27, 2023
- RAUM · $239M to $191MMar 14, 2022 to Mar 27, 2023
- Accounts · 526 to 540Mar 29, 2021 to Mar 14, 2022
- HNW clients · 156 to 117Mar 29, 2021 to Mar 14, 2022
- Individual clients · 37 to 71Mar 29, 2021 to Mar 14, 2022
- Assets in custody · $150M to $175MMar 29, 2021 to Mar 14, 2022
Signals
1 dated events
- C••••• F••••••••• L•• filed its initial SEC registration (Form ADV)Jul 30, 2019 · First SEC registration · 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
- Website
- carterfinancialllc.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 858-678-0579reportedpublic record, Form ADV, Jul 8, 2026
- Contact form
- carterfinancialllc.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $141Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026