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 registered investment adviser that registered with the SEC in 2020. The firm serves individual and family clients and combines fee-based advisory services with broker-dealer and insurance capabilities, operating as a registered representative of a broker-dealer and as an insurance broker. Advisory offerings include financial planning, portfolio management for individuals and small businesses, and the selection of other advisers. The firm uses a mix of percentage-of-AUM, fixed-fee, and commission-based pricing and describes itself as a capital allocator that directs client capital to external managers when appropriate.
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
FINTRXContacts
FINTRXWealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 63Active vs passive
$115M in ETFs
57%
$66.1M
37%
$49.3M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| INVESCO NASDAQ 100 ETF (QQQM) | Invesco | Passive | Large Growth | $13.3M | 43,734 | 11.55% |
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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