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•••••••• G••••

Independent wealth managerWorcester, MassachusettsCRD 317321SEC 801-123187website IAPD

Legal name C••• F•••••••• G•••• C•••••••••

Latest filing Sep 15, 2026

First filing on the tape Jan 6, 2022 · 17 filings

SEC status approved since Feb 7, 2022

RAUM

$744M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

99%

$738M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$106M

derived; firm RAUM over IAPD count

Employees

7 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

17 filings and snapshots on the tape

RAUM$744M as of May 29, 2026

Mar 8, 2023$467M then

HNW client RAUM$606M as of May 29, 2026

Mar 8, 2023$342M then

State-registered IARs (5.B.3)7 as of May 29, 2026

Mar 8, 20235 then

Employees (5.A)9 as of May 29, 2026

Mar 8, 20238 then

Private funds: no history

RAUM +15% over the last fiscal year+17% a year over threeIARs 5 to 7

Practice profile

derived from the filing of Sep 15, 2026; every figure names its basis

Archetypes, each a printed rule

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)

RAUM per advisor: $106MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 82derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.3MderivedHNW RAUM over HNW clients
Average account: $477,028derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.3derivedItem 5.A over advisors
Advisors per office: 1.4derived5 offices incl. principal (1.F.5)
RAUM growth, one year: +15%derivedbetween the last two annual amendments
Advisor growth, one year: +40%derivedItem 5.B.3 between annual amendments
Client growth, one year: +7.9%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Financial planning clients: 500reportedItem 5.H
Custody: $178M, 1 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

is an insurance broker or agent (6.A.6)
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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$606M81%
Individuals$132M18%
Charitable organizations$3.9M0.5%
Corporations and businesses$2.5M0.3%

Individual clients: 391reported
HNW clients: 183reported
Pension plan clients: 0reported
Charitable clients: n/areported
Accounts: 1,560reported
Financial planning clients: 500reported
Wrap fee programs: noreported
Custody of client assets: $178M for 1 clientsreported
Compensation: % of AUM, fixedreported
Class basis: private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd= related_bank= bd_reps=0.0derived

Advisors registered through the firm

7 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
C••••••••• P••• C••••••	Boylston, Ma	Feb 24, 2022	22 y	3
R•••••• M•••••• C•••Certified Financial Planner, Chartered Financial Consultant	Bradenton, Fl	Mar 8, 2022	35 y	2
B••••••• W•••••• C•••••Certified Financial Planner	Worcester, Ma	Mar 8, 2022	10 y	2
S•••••• M•••• L••••Certified Financial Planner	Worcester, Ma	Mar 21, 2022	10 y	0
A••••• L•••• L••••Certified Financial Planner, Chartered Financial Consultant	Worcester, Ma	May 26, 2022	22 y	2
L••• H•••• M•••••••••	Worcester, Ma	Mar 5, 2025	11 y	0
M••• G••••••• D••••••••	Worcester, Ma	Jan 10, 2026	10 y	0

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

A••••• L•••• L•••• from L•••• A••••••• G••••
May 26, 2022 · Other
R•••••• M•••••• C••• from L•••• A••••••• G••••
Mar 8, 2022 · Other
B••••••• W•••••• C••••• from L•••• A••••••• G••••
Mar 8, 2022 · Other
C••••••••• P••• C•••••• from L•• F•••••••• L••
Feb 24, 2022 · Affiliated broker-dealer or bank to a newly registered adviser

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

3 joined from L•••• A••••••• G••••
Sep 22, 2021 · Worcester, Ma · Firm absorbed

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C•••• R••••••• M•••••• · Presidentcontrol
since 11/2019 · owns 75% or more
C•••••• B•••••••• W•••••• · Chief Compliance Officer And Treasurercontrol
since 01/2022 · owns 10% to 25%
L••••• A•••••• L•••• · Secretarycontrol
since 10/2023 · owns 10% to 25%

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
Worcester, Ma · principal	7	1	0

Offices

Schedule D 1.F, the 25 largest

, 1 employees

What changed

consecutive filings, newest first

Financial planning clients · More than 500 to More than 500
May 29, 2026 to Sep 15, 2026
Related adviser · false to unset
May 29, 2026 to Sep 15, 2026
Related bank · false to unset
May 29, 2026 to Sep 15, 2026
Related broker-dealer · false to unset
May 29, 2026 to Sep 15, 2026
Related insurance company · false to unset
May 29, 2026 to Sep 15, 2026
Succession · false to unset
May 29, 2026 to Sep 15, 2026
Accounts · 1,429 to 1,560
Nov 6, 2025 to Feb 19, 2026
Advisory employees · 5 to 7
Nov 6, 2025 to Feb 19, 2026
HNW clients · 137 to 183
Nov 6, 2025 to Feb 19, 2026
Individual clients · 395 to 391
Nov 6, 2025 to Feb 19, 2026
Assets in custody · $166M to $178M
Nov 6, 2025 to Feb 19, 2026
Financial planning clients · 251-500 to More than 500
Nov 6, 2025 to Feb 19, 2026
State-registered IARs · 5 to 7
Nov 6, 2025 to Feb 19, 2026
Discretionary RAUM · $644M to $744M
Nov 6, 2025 to Feb 19, 2026
HNW RAUM · $496M to $606M
Nov 6, 2025 to Feb 19, 2026
Individual RAUM · $146M to $132M
Nov 6, 2025 to Feb 19, 2026
Non-discretionary RAUM · $4.4M to $0
Nov 6, 2025 to Feb 19, 2026
RAUM · $648M to $744M
Nov 6, 2025 to Feb 19, 2026
Financial planning clients · 251-500 to 251-500
Mar 3, 2025 to Jul 18, 2025
Accounts · 1,283 to 1,429
Oct 16, 2024 to Mar 3, 2025
Charity clients · 1.0 to unset
Oct 16, 2024 to Mar 3, 2025
Corporate clients · 2 to 6
Oct 16, 2024 to Mar 3, 2025
HNW clients · 113 to 137
Oct 16, 2024 to Mar 3, 2025
Individual clients · 376 to 395
Oct 16, 2024 to Mar 3, 2025
Assets in custody · $149M to $166M
Oct 16, 2024 to Mar 3, 2025
Employees · 8 to 9
Oct 16, 2024 to Mar 3, 2025
Other offices · 3 to 4
Oct 16, 2024 to Mar 3, 2025
Discretionary RAUM · $549M to $644M
Oct 16, 2024 to Mar 3, 2025
HNW RAUM · $414M to $496M
Oct 16, 2024 to Mar 3, 2025
Individual RAUM · $134M to $146M
Oct 16, 2024 to Mar 3, 2025
Non-discretionary RAUM · $4.3M to $4.4M
Oct 16, 2024 to Mar 3, 2025
RAUM · $554M to $648M
Oct 16, 2024 to Mar 3, 2025
Other offices · 0 to 3
Feb 1, 2024 to Oct 16, 2024
Accounts · 1,127 to 1,283
Oct 24, 2023 to Feb 1, 2024
Corporate clients · 3 to 2
Oct 24, 2023 to Feb 1, 2024
HNW clients · 97 to 113
Oct 24, 2023 to Feb 1, 2024
Individual clients · 365 to 376
Oct 24, 2023 to Feb 1, 2024
Assets in custody · $134M to $149M
Oct 24, 2023 to Feb 1, 2024
Financial planning clients · 1-10 to 251-500
Oct 24, 2023 to Feb 1, 2024
Discretionary RAUM · $463M to $549M
Oct 24, 2023 to Feb 1, 2024

Signals

2 dated events

Lynne Andrea Lucey (Secretary) appeared on Schedule A of C••• F•••••••• G••••
Oct 24, 2023 · Control person joined · fact
C••• F•••••••• G•••• C••••••••• filed its initial SEC registration (Form ADV)
Jan 6, 2022 · 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

Business phone: 508-795-0264reportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 800-123-1234reportedpublished by the firm, firm site, Sep 16, 2026
Firm profile: linkedin.com/company/carrfinancialgroupreportedpublic record, Form ADV, Sep 19, 2026
Website: c•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
Principal office phone: (508) 795-0264reportedpublic record, Form ADV, Sep 15, 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: $106Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026