Carter Financial Group, Inc.
Firm details
- Headquarters
- Barrington, Illinois
- CRD number
- 301025
- Registered since
- June 19, 2020
- Website
- www.carterfinancialgroup.com
- Custodians
- CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM, Fixed Fees, Commissions
- Client types
- Individuals61.87%
- HNWI35.8%
- Corporations / Businesses2.33%
- Services
- Financial PlanningPortfolio Management for IndividualsSelection of Other Advisers
Firm profile
FINTRXOverview
Carter Financial Group, Inc. is an independent, SEC-registered RIA operating as a corporation and owned by an individual. The firm serves mainly individual and family clients and combines advisory services with broker-dealer registration and insurance brokerage activity. Its advisory capabilities include financial planning, portfolio management for individuals and small businesses, and selection of outside advisers, and it identifies as a capital allocator that places clients into third-party managers. Fee arrangements include percentage-of-AUM, fixed fees, and commission-based services. Carter Financial Group does not position itself as an ESG-focused investor and is not a multi-state adviser. The firm has been SEC-registered since 2020.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds65%
- Exchange Traded Equities27%
- Cash & Cash Equivalents5%
- Other3%
- Investment Grade Corp Bonds1%
Owners & executives
2 of 2
Stephanie Hagan
Financial Plans CoordinatorCRD 2459538
Gery Sadzewicz
Chief Executive OfficerCRD 1090963
Contacts
3 of 4
Kevin Carter
PresidentCRD 1466159
Jennifer Karch
Financial PlannerCRD 5960087
Teri Shaw
Investment Adviser RepresentativeCRD 4213164
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 63Active vs passive
$115M in ETFs
57%
$65.4M
37%
$50.1M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| INVESCO NASDAQ 100 ETF (QQQM) | Invesco | Passive | Large Growth | $13.4M | 44,132 | 11.58% |
Location
Barrington, IL
Lake
Location
Barrington, IL
Headquartered in Barrington, IL, anchoring the Chicago-Naperville, IL-IN-WI metro in the Midwest.
- Metro area
- Chicago-Naperville, IL-IN-WI
- Region
- Midwest
- County
- Lake
- Address
- 222 S Cook St
- Time zone
- CT (UTC-6)
- Office locations
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